Topic
Securities
6,683 published works
Financial Services Observer
Reg BI Enforcement Intensifies: SEC Fines Western International Securities for Violating Care and Compliance Obligations
By Tracy S. Combs, Steven M. Malina, William Mack, Benjamin Cohen
On July 30, 2024, the SEC announced it had reached a settlement agreement with Western, a dually registered investment adviser and broker-dealer providing investment advice and brokerage services to retail…
The D&O Diary
Publishing and Data-Analytics Firm Hit With “Greenwashing” Securities Suit
In an unusual lawsuit that pairs individual wrongful termination allegations with class action securities law claims, a former employee and present shareholder of a unit of the UK-based publishing and…
FCPA Professor
The Delisting Of Foreign Issuers In The Aftermath Of FCPA Scrutiny Or Enforcement
By Mike Koehler
Foreign issuers (that is companies with shares traded on a U.S. exchange) are subject to the Foreign Corrupt Practices Act. The mere listing and trading is all that is required…
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:Andrew N. Vollmer, Liu and the New SEC Disgorgement Statute, 15 Wm. & Mary Bus. L.…
SEC Actions
This Week In Securities Litigation (Week of August 5, 2024)
The Commission filed a series of cases last week. They focused on offering frauds, insider trading, financial fraud, a prime bank scheme and manipulative trading. Cornerstone Research also published an…
The CLS Blue Sky Blog
John C. Coffee, Jr. – What Would a Trump Administration Mean for Securities Regulation?
There can be no debate: The Administrative State has been scaled back. The rule-making powers of administrative agencies have clearly been curbed. Most blame the Supreme Court and particularly its…
The D&O Diary
Cornerstone Research: 1H24 Securities Suit Filings Increased Compared to 2H23
The number of securities class action lawsuits filed in the first six months of 2024 increased relative to the number of securities suits filed in the second half of 2023,…
Allens Insights
(WIP) ASX crackdown on investor presentations
By Allens
Presenting at a mining conference: ASX guidance you need to know 5 min read Every year, from July to October, we observe an increase in the frequency of corporate conferences…
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:Connor Kidd, Student Article, Can Shareholders Really Trust Proxy Statements?: A Negligence Standard for Section 14(a) of…
Canadian Lawyer Mag
Bankruptcy can scrub securities commission administrative penalties but not disgorgement order: SCC
Decision released this morning dealt with s. 178(1) of the Bankruptcy and Insolvency Act