Topic
Securities
6,683 published works
SEC Actions
This Week In Securities Litigation (Week of January 29, 2024)
Last week the Commission filed four new actions. One centered on a misappropriation claim involving an investment adviser, two were tied to false statements allegations while the fourth was a…
Blockchain Legal Resource
FINRA Continues Focus on Crypto Asset Securities
FINRA, the self-regulatory organization overseeing the US broker-dealer industry, recently announced two items of interest for broker-dealers offering crypto asset securities. On January 9, 2024, FINRA published its 2024 Annual…
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:Ilya Beylin, ESG-Linked Swaps and the next Chapter of Regulatory Innovation, 42 Rev. Banking & Fin.…
The D&O Diary
NERA: 2023 Fed Court Securities Suit Filings Increased for the First Time in Four Years
The number of securities class action lawsuit filings increased in 2023 for the first time in four years, according to a new report from NERA. According to the report, the…
Crypto Law and Disputes
Security Today, Non-Security Tomorrow: Have Recent Crypto Decisions Under the Howey Test Created Unworkable Standards?
By Eric Rosen
Judge Torres’s summary judgment opinion in the SEC v. Ripple (S.D.N.Y. July 13, 2023) litigation was a detailed, carefully reasoned analysis under SCOTUS’s 77-year-old Howey test. But subsequent decisions—including Judge Torres’s…
The CLS Blue Sky Blog
ISS Discusses Largest Securities-Related Class Action Settlements of 2023
By Jarett Sena
2023 delivered a banner year for investor recoveries, as the $7.9 billion[1] in settlement funds across the globe was the highest total in the last five years. The $5.8 billion[2]…
FCPA Professor
Courts Upholds FCPA Convictions Of Former ComEd Executives And Associates
By Mike Koehler
As discussed in this prior post, in May 2023 a federal jury in Chicago found four former Commonwealth Edison (“ComEd”) executives and associates guilty on all counts charged, including conspiring to…
The D&O Diary
Biotech Hit with Securities Suit After Pandemic Impact on Clinical Trials
A few days ago when I published a post discussing a new COVID-19-related securities lawsuit I expressed my surprise that pandemic-related suits were still being filed in 2024, particularly after…
SEC Actions
This Week In Securities Litigation (Week of January 22, 2024)
div> The Commission filed five new cases last week. Two centered on offering frauds, one on a market manipulation, another on the block trading rules and one focused on the…
The D&O Diary
Supply Chain Woes Causing Inventory Build-Up Leads to Securities Suit
In my recent round-up of the Top D&O stories of 2023, I noted that one of the key drivers contributing to the number of securities class action lawsuit filings last…