Topic
Securities
6,683 published works
The D&O Diary
COVID-Related Results Lead to Securities Suit
I think we all recognize that the disruptions from the COVID pandemic continue to reverberate through the economy. Many industries and many companies are still trying to get back…
The D&O Diary
Prior SEC Subpoena and Later Securities Suit Held Not to Be Related
One of the perennial D&O insurance coverage issues is the question of whether two or more claims are or are not interrelated. Under the operation of provisions typically found in…
Free Writings + Perspectives
SEC Small Business Advisory Committee Meeting to Discuss Accredited Investor Definition and IPO Market
The Securities and Exchange Commission announced that on February 27, 2024, the Small Business Capital Formation Advisory Committee will hold a meeting, which will be webcast. The SEC Office of…
SEC Actions
This Week In Securities Litigation (Week of February 19, 2024)
Last week the Commission filed three new actions: One centered on Regulation BI, a second was based on an offering fraud and a third tied to disclosure issues. The staff…
Consumer Finance and Fintech Blog
Crypto Platform Settles SEC and State Regulator Charges over Interest Bearing Feature on Customer Accounts
By Moorari Shah, A.J. Dhaliwal, Mehul Madia, Maxwell Earp-Thomas
On February 7, a Florida-based cryptocurrency company agreed to settle charges brought by the SEC and the California Department of Financial Protection and Innovation alleging that, an interest-earning feature offered…
Canadian Lawyer Mag
Ontario Securities Commission extends CEO Grant Vingoe’s term for five years
Regulator is gearing up for new strategic plan
Blockchain Legal Resource
SEC Expands “Dealer” Definition
On February 6, 2024, by a 3-2 vote, the US Securities and Exchange Commission adopted new rules that expand the definition of “dealer” under the federal securities laws. Ostensibly adopted…
Davis+Gilbert PERKS
Supreme Court Clarifies Whistleblower Burden in SOX Retaliation Claims
On February 8, 2024, the U.S. Supreme Court issued a unanimous decision in Murray v. UBS Securities LLC, holding that when employees allege retaliation under the Sarbanes-Oxley Act (“SOX”), they…
Across The Board
SEC’s Buyback Rule Setback May Foreshadow the Fate of Its Climate Rule
By Lawrence Cunningham (Contributor)
The SEC announced late last week that it has abandoned its rulemaking efforts begun last May to compel disclosure of share buyback rationales and data. The turnabout follows an October…
The CLS Blue Sky Blog
U.S. Supreme Court Considers Whether Pure Omissions Can Support Section 10(b) Liability
By Sarah Eichenberger, Jonathan Rotenberg
On January 16, 2024, the U.S. Supreme Court held oral argument on a question that could have significant consequences for securities litigants: whether a failure to disclose information under Item…