Topic
Securities
6,683 published works
SEC Actions
This Week In Securities Litigation (Week of February 12, 2024)
Last week the Commission filed a series of actions tied to the manner in which market professionals keep records. Those cases were resolved with admission to the underling charges and…
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:Sandeep Singh Dhaliwal, Investing in Abolition, 112 Geo. L.J. 1 (2023).Fernan Restrepo, The Capital Market Effects…
The D&O Diary
Alphabet Google+ User Data Privacy-Related Securities Suit Settles for $350 Million
In what is apparently the largest privacy and cybersecurity-related securities class action lawsuit settlement ever, the parties to the Alphabet Google+ user data securities suit have agreed to settle the…
The D&O Diary
Guest Post: Supreme Court Considers Whether Pure Omissions Can Support Section 10(b) Liability
Sarah Eichenberger Jonathan Rotenberg As I noted in a post at the time, last Fall, the U.S. Supreme Court in the Macquarie Infrastructure Corporation v. Moab Partners, L.P. case agreed…
SEC Actions
This Week In Securities Litigation (Week of February 5, 2024)
The Commission prevailed on a partial summary judgment motion in a financial fraud action. The case centered on recognizing revenue in software transactions. The agency also filed two new enforcement…
Global Regulation Tomorrow
ESMA publishes official translations of guidelines under the CCPRRR
On 2 February 2024, the European Securities and Markets Authority (ESMA) published the official translations of following guidelines under Regulation (EU) 2021/23 on a framework for the recovery and resolution…
The CLS Blue Sky Blog
How Private Rights of Action in Securities Laws Affect the Capital Markets
Few topics in the corporate and securities law literature are as controversial as securities class actions – that is, actions in which shareholders of public firms seek to collectively obtain…
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:Yuliya Guseva & Irena Hutton, Regulatory Fragmentation: Investor Reaction to SEC and CFTC Enforcement in Crypto…
Global Regulation Tomorrow
ESMA Report: Provision of cross border services by CSDs and handling of applications under Article 23 of CSDR from 2020 to 2022
On 31 January 2024, the European Securities and Markets Authority (ESMA) published a report covering two topics: the cross border provision of services and the handling of passporting requests over…
Global Regulation Tomorrow
The Public Offers and Admissions to Trading Regulations 2024 are published
By Anita Edwards, Simon Lovegrove (UK)
On 31 January 2024, a statutory instrument (SI) – the Public Offers and Admissions to Trading Regulations 2024 – was published on legislation.gov.uk, along with an explanatory memorandum. The SI,…