Topic
Securities
6,683 published works
Financial Services Perspectives
Q&A with the Mississippi Securities Division: New Technology, New Rules and New Challenges
The Mississippi Securities Division is the closest regulator to the investing public of Mississippi. Among other tasks, they protect investors from fraud and abuse and make sure those licensed securities…
California Corporate & Securities Law Blog
There Are Four Answers To The Question "Is A Limited Liability Company Interest A Security Under California Law?"
The federal securities laws predate by decades the advent of limited liability companies and the statutory definitions of a "security" under those laws has not been updated to address membership…
SEC Actions
This Week In Securities Litigation (Week of June 10, 2024)
The Commission filed four new cases last week primarily focused on insider trading. The agency also lost a decision in the Fifth Circuit which vacated the new private fund disclosure…
The D&O Diary
Napa Valley
Napa Valley The D&O Diary was on assignment last week in Napa Valley in California. Although I have visited Napa several times in the past, it has been a while…
The D&O Diary
Guest Post: Inigo’s 2024 Defense Counsel Survey
In the following guest post, Ed Whitworth, the Head of Financial Lines at Inigo, and Yera Patel, Chief Legal officer and Head of Financial Lines Claims for Inigo, summarize the…
The Securities Law Blog
SEC to Close Salt Lake Regional Office
The Securities and Exchange Commission today announced that it will close its Salt Lake Regional Office (SLRO) later this year, reducing its regional footprint from 11 regional offices to 10.…
The D&O Diary
Health Insurer Hit with COVID-Related Securities Suit
Here at The D&O Diary, our job is to watch for emerging trends in corporate and securities litigation. There is plenty to watch. Because we are always so attentive to…
China Law Insight
解读《中国证监会2023年执法情况综述》
By King & Wood
作者：刘凌云 成功 蒋蒙蒙 2024年5月15日，中国证券监督管理委员会（下称“证监会”）发布了《“长牙带刺”“严监严管”证监会持续加大证券期货违法行为打击力度——中国证监会2023年执法情况综述》对2023年执法工作情况进行了全面的总结。在过去的一年中，证监会查办的证券期货违法案件数量、处罚的责任主体数量和罚没金额均同比大幅增长，有力维护资本市场运行秩序，有效保护投资者合法权益，打击证券期货违法行为工作成效持续彰显，“零容忍”打击高压态势不断巩固。 阅读更多
Across The Board
Did the Seventh Circuit Just Sound the Death Knell for Mootness Fees?
By Brian Massengill, Andrew Noreuil, Linda X. Shi, Andrew Spadafora
For decades, corporate merger and acquisition deals have been plagued by meritless claims asserting, typically, that the companies and their officers and directors have provided insufficient disclosures. Courts have sought…
The CLS Blue Sky Blog
SEC Enforcement Chief Discusses Five Principles of Effective Cooperation in Investigations
This event, together with its East Coast and now Midwest counterparts, offers regulators like me a unique opportunity to speak directly to leaders of the securities bar about issues of…