Topic
Securities
6,683 published works
The CLS Blue Sky Blog
SEC Chair Gensler Speaks to Small Business Capital Formation Advisory Committee
By Gary Gensler
Good morning. I’m pleased to speak with the Small Business Capital Formation Advisory Committee. As is customary, I’d like to note that my views are my own as Chair of…
The CLS Blue Sky Blog
Reg FD’s Dilemma: The Unseen Edge in Private Investor Meetings
By H. Scott Asay, Shana Clor-Proell, Michael T. Durney
Regulation Fair Disclosure (Reg FD) attempts to level the playing field for investors, stating that any “informational edge” should be due to investors’ “skill, acumen, or diligence” rather than “from…
Canadian Lawyer Mag
Lawyers seek hefty legal fees from Apple securities settlement
The amount is equivalent to about US$3,100 per hour for 65 lawyers and staff
All Things FinReg
SEC Stays Approval of Amendment to FINRA Rule 2210 That Would Allow Projections of Performance
By Morgan Lewis
In an unusual move, on July 26, 2024, the Securities and Exchange Commission (SEC) stayed an order that was previously issued by its own Division of Trading and Markets just…
Stoel Rives Environmental Law
SEC v. Jarkesy: In-House Adjudicators are Out and the Jury is In
By Rachel Aramburu, Krista McIntyre
Why do environmental professionals need to know about a recent securities case? Read on for details. In response to the Wall Street Crash of 1929, Congress passed the Securities Act…
China Law Insight
缩股，可治“面值退市”否？
By King & Wood
作者：姜翼凤 黄任重 刘宁 2024年7月1日起生效的新《公司法》进一步区分形式减资和实质减资。新《公司法》第二百二十四条第三款明确规定“公司减少注册资本，应当按照股东出资或者持有股份的比例相应减少出资额或者股份，法律另有规定、有限责任公司全体股东另有约定或者股份有限公司章程另有规定的除外”，允许按股东持股比例减少出资额（即缩股的操作形式）并以其为减资的原则；第二百二十五条第二款则规定公司形式减资时，豁免其债权人异议程序，进而兼顾商事效率与债权人保护。 阅读更多
China Law Insight
香港联交所出台新库存股份机制
By King & Wood
作者：谢晓东 骆伟德 陈璴丹 陈博志 尹智伟 香港联合交易所有限公司最近修订《香港联合交易所有限公司证券上市规则》（上市规则），以建立新的库存股份框架供市场参与者采用。经修订的上市规则删除上市公司注销购回股份的要求，并且允许上市公司可在其注册成立地点的法律及其组织章程文件许可的情况下以库存方式持有购回股份以供日后再出售。新规则已于2024年6月11日（生效日）生效。 阅读更多
SEC Actions
This Week In Securities Litigation (Week of July 29, 2024)
Last week the Commission filed four new actions. Two centered on offering frauds while the third was basedon false statements. And one on an unregistered broker charge. Be careful, be…
SEC Actions
Trump Media Merges with SPAC In Wake of Enforcement Action
A special purpose acquisition company or SPAC is typically formed with the purpose of effecting a merger. Before SPACs were known as such – they are a relatively recent phenomenon…
SEC Actions
This Week In Securities Litigation (Week of July 22, 2024)
The Commission filed two new proceedings, one focused on a Ponzi scheme and the second on insider trading. The latter is an administrative proceeding settled with the imposition of a…