Topic
Securities
6,683 published works
The CLS Blue Sky Blog
How the SEC Can Evade Jarkesy’s Impact
The Supreme Court is about to eviscerate the SEC’s power to efficiently pursue fraudsters. Or so we are told. In SEC v. Jarkesy, the Court may hold that whenever the…
The D&O Diary
A Detailed Look at the 2023 Securities Litigation Against Life Sciences Companies
As readers of this blog well know, life sciences companies are frequent targets of securities class action lawsuits. Interestingly, at least according to the latest annual report from the Sidley…
SEC Actions
This Week In Securities Litigation (Week of April 15, 2024)
Last week the Commission resolved two litigated actions. One involved the so-called “shadow” insider trading case in which a jury returned a verdict in favor of the agency in a…
Sidley Austin Blog
Securities Litigation Against Life Sciences Companies: 2023
By Robin E. Wechkin, Sarah A. Hemmendinger, Francesca E. Brody, Sara B. Brody, Matthew J. Dolan
Securities class actions against life sciences companies are mostly second-order problems. The first-order problem is a business or regulatory setback that, when disclosed by the company or a third party,…
The Securities Law Blog
SEC Charges Five Investment Advisers for Marketing Rule Violations
The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle the SEC’s charges and to…
The Capital Commitment
SEC Focus on Adviser-Led Secondaries Continues
By Margaret A. Dale, Michael R. Hackett, Stephen Hibbard, William Komaroff, Timothy W. Mungovan, Dorothy Murray, Joshua M. Newville, Todd J. Ohlms, Robert Pommer, Seetha Ramachandran, Robert Sutton, Jonathan M. Weiss, Julia Alonzo, William D. Dalsen, Julia M. Ansanelli, Isaiah D. Anderson, James Anderson, Adam L. Deming, Adam Farbiarz, Reut N. Samuels, Hena M. Vora
Adviser-led secondary transactions have seen explosive growth over the last five years. That growth has brought increased regulatory concerns over the conflicts of interests inherent in these transactions and a…
The D&O Diary
Frankfurt
Frankfurt The D&O Diary is on assignment in Europe this week, with the first stop in Frankfurt, the German financial capital. The spring weather in Frankfurt was mild and pleasant…
Securities Law Prof Blog
New Securities Law Article in Print
The following law review article relating to securities regulation is now available in paper format:Robin Hui Huang & Weixia Gu, China's Recognition and Enforcement of Foreign Securities Judgments against Overseas-Listed…
China Law Insight
2024年资本运作法律要点初探及指南
By King & Wood
作者：陈倩思 过去的2023年是我国资本市场法律法规全面更新的一年。2月17日，中国证监会和各证券交易所发布全面实行股票发行注册制相关规则，股票发行全面注册制落地实施，年内监管部门还针对性地加强了对上市公司信息披露、减持、分红、董事履职等方面的监管。9月1日，国务院新颁布的《私募投资基金监督管理条例》正式生效，配套同样是年内生效的《私募投资基金登记备案办法》，系统化、专业化地加强对私募基金的监管，12月发布的《私募投资基金监督管理办法（征求意见稿）》更引发了市场的广泛热议和讨论。而在2023年最后一个工作日，大幅修订后的《公司法》正式由国家主席签署颁布，并将于2024年7月1日起正式生效，新法在资本制度、公司治理、股东权利、董监高责任等方面一系列的规则调整，势必对未来市场投融资活动造成较为深远的影响。 阅读更多
SEC Actions
This Week In Securities Litigation (Week of April 8, 2024)
The Commission filed four new cases last week. One centered on a failure to keep records while a second was based on a fraudulent scheme. The final two cases involved…