Topic
Securities
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SEC Actions
This Week In Securities Litigation (Week of December 18, 2023)
As we move closer to the holidays and the end of the year, the Commission filed four new civil injunctive actions. One involved an offering fraud case, two centered on…
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:Aaron A. Dhir, Sarah Kaplan & Maria Arabella Robles, Corporate Governance and Gender Equality: A Study of…
Compliance Building
Is a Cow a Security?
If the investment is a “security”, you have to comply with the Securities and Exchange Commission regulations. The seminal case is Howey, where a sponsor was selling interests in an…
The D&O Diary
Semiconductor Company Hit with Securities Suit as EV Demand Declines
For some time now, one of the hottest bets in the U.S. economy has been the electric vehicle industry. Until recently, manufacturers struggled to meet consumer demand. However, as 2023…
Free Writings + Perspectives
New Edition: Corporate Finance and the Securities Laws
We just published a new edition of Corporate Finance and the Securities Laws. This is the seventh edition. A new edition provides an opportunity to go through the whole book and…
SEC Actions
This Week In Securities Litigation (Week of December 11, 2023)
Last week the Commission filed one new enforcement action. That case centered on an offering fraud directed by a securities law recidivist. Be careful, be safe this week. SEC Enforcement…
Financial Services Observer
SEC Division of Examinations 2024 Priorities
By Arthur Don, Steven M. Malina, John Warren
The Securities and Exchange Commission (SEC)’s Division of Examinations (Division) announced its 2024 examination priorities (Exam Priorities) in October. In 10 years of priority announcements, this is by far the earliest annual…
Sidley Austin Blog
Petitioners Make Their Case That Pure Omissions Are Not Actionable Under Section 10(b) and Rule 10b-5.
In 2024, the Supreme Court will be looking once again at the federal securities laws in Macquarie Infrastructure Corp. v. Moab Partners, L.P., Dkt No. 22-1165. The question presented to…
The CLS Blue Sky Blog
John C. Coffee, Jr. and Joshua Mitts – Can Section 11 Be Saved?: Tracing a Path to Its Survival
By John C. Coffee Jr., Joshua Mitts
In the wake of Slack Techs., LLC v. Pirani,[1] many have predicted that Section 11 of the Securities Act of 1933 will decline into a state of near irrelevance. Some…
SEC Actions
This Week In Securities Litigation (Week of December 4, 2023)
The Commission filed three new actions this week. One focused on the custody rule, a second centered on accounting for loss contingencies and a third manipulation. Be careful, be safe…