Topic
Securities
6,664 published works
Securities Law Prof Blog
An Anti-Investor SEC?
Has Chair Cox's SEC become anti-investor? The New York Times examines two recent events that support this view. First, the SEC's chief accountant said that the agency is considering ways…
Securities Law Prof Blog
Amendment of NYSE Rule 123D
NYSE issued Information Memorandum 7-15, REDUCTION OF MINIMUM TIME PERIODS AFTER DELAYED OPENINGS, HALTS AND "EQUIPMENT CHANGEOVERS," to advise members and member organizations that the Exchange has amended Rule 123D…
Securities Law Prof Blog
NYSE Censures Deutsche Bank Securities
NYSE Regulation, Inc. censured and fined Deutsche Bank Securities, Inc. a total of $1.275 million in two separate disciplinary actions. The first action, which resulted in the imposition of a…
Securities Law Prof Blog
NASD Fines Distributors of Mutual Funds
NASD announced today that it has fined three distributors - Scudder Distributors, Inc. of Chicago, Putnam Retail Management Limited Partnership of Boston and AllianceBernstein Investments, Inc. of New York -…
Securities Law Prof Blog
Nasdaq Unsuccessful in LSE Bid
Nasdaq failed, big-time, in its bid to acquire control of the London Stock Exchange, with less than 1/2 of one per cent of LSE shareholders accepting its bid. It remains…
Securities Law Prof Blog
Symposium on Investors’ Remedies
Corporate Law SymposiumUniversity of Cincinnati College of LawMarch 30, 20079 a.m. – 4 p.m.Twenty Years After Shearson/American Express v. McMahon:Assessing Investors’ RemediesPanel 1: Securities and Other Forms of Consumer Arbitration…
Securities Law Prof Blog
Glass-Steagall Revisited
SRRN has posted "The "Great Fall": The Consequences of Repealing the Glass-Steagall Act " by J. ROBERT BROWN Jr. (University of Denver Sturm College of Law )Here's the Abstract: …
Securities Law Prof Blog
Sallie Mae Insider Sells Shares Before Price Drop
Sallie Mae Chair Albert L. Lord sold $18.3 million worth of stock last week, just a few days before the Bush administration announced big cuts in subsidies to the lending…
Securities Law Prof Blog
Some Hedge Funds Want to Share Information with Public
Should the SEC lift the ban on "general solicitation" for hedge funds and allow them to communicate publicly about their activities? Some funds are urging the SEC to do so,…
Securities Law Prof Blog
Insider Trading Charges Settled
The SEC announced today that Daniel Fongnien Chiang, the former Co-Chairman of SINA Corp., and his wife, Eva Yi-Fen Chen, the CEO of Trend Micro Incorporated, settled charges that they…