Topic
Securities
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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:Barbara Ballan & Jason J. Czarnezki, Disclosure, Greenwashing, and the Future of ESG Litigation, 81 Wash. & Lee…
Subject to Inquiry
Crypto.com Sues the SEC in Texas – Arguments and Implications for the Cryptocurrency Industry
By David Hirsch, Garen S. Marshall, Rhea Shahane
On October 8, 2024, Crypto.com filed a civil complaint against the Securities and Exchange Commission (“SEC”) and each of its Commissioners in the Eastern District of Texas seeking declaratory and…
SEC Actions
This Week In Securities Litigation (Week of October 14, 2024)
Following the blitz of cases last week for the end of the Government fiscal year, the wave of new cases subsided. This week there were only three new enforcement actions.…
California Corporate & Securities Law Blog
Did The FBI Violate The Securities Laws By Directing The Creation Of A Crypto Asset That Was Offered And Sold To The Public?
Professor Ann Lipton recently wrote about an ingenious scheme developed by the Federal Bureau of Investigation that has resulted in indictments of 18 individuals and entities for alleged fraud and…
Startup GC Business Law Insights
Securities Law Tips for Startups
By Paul Swegle
As you might guess from this old picture from my days in the SEC's Enforcement and Corporation Finance divisions, I’ve been thinking about these issues for a few years…. Before…
The CLS Blue Sky Blog
Serendipity and Self-Regulation: The Case of Cryptocurrency-Based ETPs
Cryptocurrency enthusiasts rejoiced when the Securities and Exchange Commission (SEC) approved the listing of bitcoin – and ether-based exchange-traded products (ETPs) – on U.S. stock exchanges earlier this year. There…
The CLS Blue Sky Blog
Morrison & Foerster Discusses SEC’s Active Enforcement of Tender Offer Rules
By Spencer Klein, Joe Sulzbach, Rebecca Chacon Naranjo, Sahana Ragunathan, Hannah Yang
On September 6, 2024, the United States Securities and Exchange Commission (the SEC) charged Esmark Inc. (“Esmark”) and its Founder/Chairman and former CEO James Bouchard under Section 14(e) of the…
Free Writings + Perspectives
SEC Testifies Before Congress & Updates from the Division of Corporation Finance
By Anna T. Pinedo, Carlos E. Juarez
The Chair and Commissioners of the Securities and Exchange Commission testified before the US House of Representatives Committee on Financial Services on September 24, 2024. The SEC’s testimony provided updates…
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:Meiring de Villiers, Loss Causation Decoded, 33 S. Cal. Interdisc. L.J. 99 (2023).Franklin A. Gevurtz, Important Warning…
Global Regulation Tomorrow
New depositary licensing regime takes effect
By Etelka Bogardi (HK), Daniel Cai
From 2 October 2024, trustees and custodians of collective investment schemes (CIS) operating in Hong Kong and authorised by the Securities and Futures Commission (SFC) for retail distribution must be…