Topic
Securities
6,683 published works
w(x) blog
What Type of Security Should You Use to Fund Your Venture?
By Adam Silverman, Evan Kipperman
In this blog series, we review the most common types of securities used in financing emerging companies, and highlight key issues worth considering for each. Over the course of four…
w(x) blog
What Type of Security Should You Use to Fund Your Venture? Part 3
By Adam Silverman, Evan Kipperman
In this blog series, we review the most common types of securities used in financing emerging companies, and highlight key issues worth considering for each. Over the course of four…
Securities Law Prof Blog
New Securities Law Articles in Print
The following law review articles relating to securities regulation are now available in paper format:Eric C. Chaffee, Securities Regulation and Administrative Deference in the Roberts Court, 47 Seattle U. L. Rev.…
The D&O Diary
Alibaba Settles Securities Suit Over Exclusivity Practices and Ant Group’s Scuttled IPO for $433.5 Million
Chinese e-commerce company Alibaba, whose American Depository Shares (ADS) trade on the NYSE, has agreed to settle a long-running securities class action lawsuit in which the company was alleged to…
SEC Actions
This Week In Securities Litigation (Week of October 28, 2024)
Last week the Commission filed eleven new enforcement actions. They focused largely on cybersecurity and false statements. Be careful, be safe this week SEC Enforcement – Filed and Settled Actions…
Cohen & Buckmann Insights
The SEC is Serious about the Whistleblower Protection Rule. Don't Blow It!
By Lauri London
The SEC recently fined GQG Partners, a Florida based investment adviser, $500,000 for language in their agreements with employees, candidates and a former employee that did not provide Whistleblower protection. …
The CLS Blue Sky Blog
The Dual Role of Short Sellers in Securities Litigation
By Chelsea Liu, Lily H.G. Nguyen, Kelvin Jui Keng Tan
In a new paper, we explore the often-misunderstood role of short sellers in corporate misconduct and securities class actions. Short sellers are investors who bet on a future decline in…
SEC Actions
This Week In Securities Litigation (Week of October 21, 2024)
Last week the Commission focused in part on actions involving the illegal sale and manipulation of crypto assets. They called the effort a “Crackdown on Manipulation of Crypto Assets Offered…
The D&O Diary
Cannabis Company Hit With SPAC-Related Securities Suits
For the last several years, securities class action lawsuits related to SPACs and de-SPACs have been a significant factor in the overall annual number of securities suit filings. SPAC-related suits…
The CLS Blue Sky Blog
How Mandatory ESG Disclosure Affects IPO Underpricing
By Lien Duong, Hoang Luong, Lily Nguyen, Zeyu Wang
In a new paper, we discuss our findings on how ESG disclosure mandates affect IPO underpricing – the tendency of IPO share prices to jump on the first day of…