Topic
Securities
6,683 published works
The D&O Diary
Defense Firm Hit with COVID and Supply Chain Disruption-Related Securities Suit
The pandemic officially ended well over a year ago, but the pandemic’s effects continue to ripple through the economy and affect company’s operations and financial results. Moreover, these effects continue…
The D&O Diary
Guest Post: Securities Litigation Exposure Increases During Bull Stock Market
Nessim Mezrahi In the following guest post, Nessim Mezrahi reviews the ways in which the current surging stock market affects the potential exposures of publicly traded companies and the implications…
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:Billy Abbott, The Anything Asset: The Tax Classification of Cryptocurrency, NFTs, DAOs and Other Digital Assets,…
SEC Actions
This Week In Securities Litigation (Week of July 15, 2024)
Last week the Commission filed three new actions. One centered on false statements, a second on insider trading and the third involved misrepresentations. Be careful, be safe this week and…
SEC Actions
A Week of Settlements
This has been the week of settlements for the Commission. Since the 4th of July holiday, the agency has not filed a new enforcement action as either a civil injunctive…
The CLS Blue Sky Blog
SEC Enforcement Chief Speaks on Enforcing the Federal Securities Laws in the Age of Crypto
I’m thrilled to be back at my law school alma mater. This is a special place – one that not only helped me hone my legal skills, but also one…
Global Regulation Tomorrow
ESMA issues third consultation on future technical standards and technical advice on revised MiFIR and MiFID II
By Simon Lovegrove (UK), Floortje Nagelkerke (NL), Anna Carrier (BE)
On 10 July 2024, the European Securities and Markets Authority (ESMA) published its third consultation paper on the future technical standards and technical advice on revised MiFIR and MiFID II.…
California Corporate & Securities Law Blog
Want Of Privity Evidence Dooms Class Claims Against Blockchain Company
The California Corporate Securities Law of 1968 generally requires that the offer and sale of a security in an issuer transaction must be qualified unless exempt or not subject to…
The D&O Diary
Medical Device Company Hit with SPAC-Related Securities Lawsuit
In my recent review of the 1H24 securities class action litigation filings (here), I noted that SPAC-related securities suits were less of a factor in the overall number of suit…
SEC Actions
This Week In Securities Litigation (Week of July 8, 2024)
During the holiday shortened first week of July, the Commission filed six new civil injunctive actions. Those focused largely on offering fraud actions – four of the six new cases…