Topic
Securities
6,664 published works
Securities Law Prof Blog
Scholarship on Mutual Funds
SSRN recently posted "The Investment Company Act's Definition of "Security" and the Myth of Equivalence," by JOSEPH A. FRANCO, Suffolk University Law School Here is the abstract:This article addresses a…
Securities Law Prof Blog
Amendments to BrokerCheck
NASD, in Notice to Members 07-10, discussed recent amendments to Interpretive Material 8310-2 (IM-8310-2), governing the release of information through NASD BrokerCheck. NASD Says that "These amendments expand the information…
Securities Law Prof Blog
NYSE-Euronext Merger Approved
The SEC approved the NYSE-Euronext merger. See NYTimes, Euronext Deal Is Approved and WSJ, NYSE Merger Draws Closer On SEC Ruling.
Securities Law Prof Blog
SEC Investigation into Research Firm Closed
Gradient Analytics, a research firm, announced that the SEC had completed its investigation into the firm without taking any action. The investigation was instigated by accusations from Overstock.com that Gradient…
Securities Law Prof Blog
Amicus Briefs in Tellabs
To date, amicus briefs in Tellabs Inc. v. Makor Issues & Rights, Ltd. have been filed by the following, all in favor of the Defendant issuer's position, and contrary to…
Securities Law Prof Blog
Nasdaq Didn’t Want LSE That Bad
Nasdaq CEO Robert Greifeld spoke about the failed attempt to acquire the London Stock Exchange, saying that it refused to negotiate with large LSE shareholders who wanted a higher price. …
The D&O Diary
SEC Urges “Exceedingly High” Pleading Standard?
As discussed in February 13, 2007 New York Times article entitled "SEC Seeks to Curtail Investor Suits" (here), the SEC and the DOJ have jointly filed an amicus brief in…
Securities Law Prof Blog
SEC’s Nazareth on SOX 404
SEC Commissioner Nazareth in her remarks before SEC Speaks:The Section 404 management guidance that we proposed this past December is an example of how the Commission has begun to address…
Securities Law Prof Blog
Casey: SOX 404 Needs Fixing
From SEC Commissioner Kathleen Casey's remarks before the SEC Speaks:We need to fix 404. No other issue in recent times has come to symbolize regulation gone awry than this relatively…
Securities Law Prof Blog
NASD Suitability Standards
NASD has issued a Notice to Members dealing with the situation where a registered representative changes firms and brings his customers with him whose portfolios may contain investments that are…