Topic
Securities
6,683 published works
Free Writings + Perspectives
Market Outlook for IPOs in 2025: Insights from PLI’s 56th Annual Institute on Securities Regulation
By Anna T. Pinedo, Jennifer Zepralka, Gonzalo Go
On November 14, 2024, the Practising Law Institute’s 56th Annual Institute on Securities Regulation featured a panel discussion that provided valuable insights into the initial public offering (IPO) landscape for…
California Corporate & Securities Law Blog
Why Was 25% Chosen As California's Jurisdictional Threshold For Recapitalization Transactions?
California's securities qualification requirements and exemptions depend upon whether the offer and sale of securities is an issuer transaction, a change in rights, exchange, merger, or conversion transaction, or a…
Capiche
Understanding Prospectus Exemptions in Canadian Capital Markets
By Capiche
When companies raise capital in Canada, they are generally required to provide a prospectus — a detailed document that discloses key information about the company and the securities it’s offering. A prospectus…
SEC Actions
This Week In Securities Litigation (Week of November 11, 2024)
The Commission filed only one new case last week. It focused on false statement made by an investment adviser regarding references to ESG in discussions regarding the management of funds…
The D&O Diary
Tenth Circuit Affirms Dismissal of Short Seller’s Securities Suit Against Overstock
Short sellers have a complicated relationship to securities class action litigation, as several prior posts on this site have noted (most recently here). Among the more unusual roles short sellers…
California Corporate & Securities Law Blog
Supreme Court Hears Argument On Whether "What's Past Is Prologue"
Yesterday, the United States Supreme Court heard oral argument in Facebook, Inc. v. Amalgamated Bank (S. Ct. Case No. 22-15077). As presented by Facebook (now known as Meta Platforms, Inc.), the question…
All Things FinReg
SEC Charges Crypto Market Maker as Unregistered Dealer
By Morgan Lewis
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market Maker) on October 10, 2024, alleging that the firm operated as an unregistered securities dealer…
SEC Actions
This Week In Securities Litigation (Week of October 28, 2024)
The Commission filed a series of administrative proceedings last week that centered on J.P. Morgan and its affiliates. In addition, cases were filed involving insider trading and accounting issues. Be…
The D&O Diary
Court Rules on Petrobras Investors’ Claims in Dutch Collective Action
A Dutch court has entered a significant ruling in one of the long-running efforts by Petrobras investors to recover damages following the company’s bribery scandal. The Petrobras U.S. securities class…
EB-5 Insights
SEC Division of Examinations 2025 Priorities
By Arthur Don, Steven M. Malina, Richard M. Cutshall, Rachel B. Cohen-Deaño, Tracy S. Combs, Melissa Peach
The Securities and Exchange Commission’s Division of Examinations (Division) announced its 2025 examination priorities (Exam Priorities) Oct. 21, 2024. These priorities address areas of concern based on recent examinations, and often forecast…