Topic
Securities
6,683 published works
SEC Actions
This Week In Securities Litigation (Week of June 3, 2024)
Last week the Commission filed three actions. One was based on an intrusion, another an offering fraud and one an undisclosed conflict of interest. Be careful, be safe this week.…
Commercial Case Notes
No Action Clause Bars Claim Against Issuer
By John Lundin
On May 16, 2024, the Court of Appeals issued a decision in Mulacek v. ExxonMobil Corp., 2024 NY Slip Op. 02724, holding that a no action clause barred a claim…
The Securities Law Blog
SEC Charges Advisory Firm Mass Ave Global and Co-Founder and CEO Winston Feng with False Statements and Undisclosed Conflicts
The Securities and Exchange Commission today instituted settled proceedings against formerly registered investment adviser Mass Ave Global Inc. (MassAve) and its co-founder and CEO Winston M. Feng for making false…
Best Methods
Private Transfer Pricing Disputes
By Anthony D. Pastore, Sonal Majmudar, Jason M. Osborn
In most transfer pricing disputes, the taxpayer squares off with the IRS or some other taxing authority, and the issue is the amount of tax due. But, in some cases,…
SEC Actions
This Week In Securities Litigation (Week of May 28, 2024)
Welcome back to everyone from a very nice holiday weekend. Now everyone can move forward to the beginning of summer. Prior to the holiday weekend the Commission continued to file…
The D&O Diary
Guest Post: Standardizing Early Case Appraisal in Securities Class Actions
Assen Koev The resolution of many securities class action lawsuits would benefit from an economic assessment early in the case process. In the following guest post, Assen Koev argues in…
Israel Global Gateway
Supreme Court to determine what constitutes a “material change” under Canadian securities law
By Yael Bailey
Written by: Derek Sigel, Robbie Grossman, Sydney KertJamie Mandell, Thomas Prentice Reporting issuers across Canada should be aware of a more expansive interpretation of the term “material change” which will…
Securities Law Prof Blog
Corporate & Securities Litigation Workshop: Call for Papers
UCLA School of Law, in partnership with the University of Illinois College of Law, University of Richmond School of Law, and Vanderbilt Law School invites submissions for the Eleventh Annual…
Global Regulation Tomorrow
Key dates next week
Global N/A EU 20 May 2024 - On 30 April 2024, the European Securities and Markets Authority published the results of the annual transparency calculations for non-equity instruments, bond liquidity…
The D&O Diary
Boldface and Italics Not Enough to Identify Misleading Statements
Here at The D&O Diary, we read everything so you don’t have to. One item that crossed my desk this week particularly resonated with me. The specific item was the…