Topic
Securities
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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:Wulf A. Kaal & Hayley A. Howe, Custody of Digital Assets, 63 Jurimetrics 169 (2023).
SEC Actions
This Week In Securities Litigation (Week of October 23, 2023)
This Week In Securities Litigation (Week of October 23, 2023) Last week the Commission filed cases centered on crypto assets, Rule 105, insider trading and an offering fraud. EXAMS also…
Consumer Financial Services Law Monitor
SEC Dismisses Ripple Labs Executives After Losing Bid for Interlocutory Appeal
By Jay Dubow, Matthew Orso, Ethan G. Ostroff
On October 19, the Securities and Exchange Commission (SEC) dismissed its claims against Ripple Labs, Inc. (Ripple) executives Bradley Garlinghouse and Christian Larsen for allegedly aiding and abetting Ripple's violations…
California Corporate & Securities Law Blog
Are Securities Law And Unfair Competition Law Claims Miscible?
Recently, I wrote about the ruling in Cress v. Nexo Financial LLC, 2023 WL 6609352 (Oct. 10, 2023). Today's post covers a different issue addressed in that case - to what…
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:Miriam H. Baer, Corporate Compliance's Achilles Heel, 78 Bus. Law. 791 (2023).Stephen M. Bainbridge, Sarbanes-Oxley §…
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:Mitchell Carlson, Note, (Private) Market Mania: Assessing the Impact of Private Market Booms on Venture Capital-Backed Startup…
Global Financial Regulatory Blog
Consultation on Proposed Regulation to Govern Market Soundings in Hong Kong
SFC proposes guidelines for intermediaries conducting and receiving market soundings in securities and capital market transactions. By Simon Hawkins and Adrian Fong On 11 October 2023, the Securities and Futures…
The Securities Law Blog
SEC Division of Examinations Announces 2024 Priorities
The Securities and Exchange Commission’s Division of Examinations today released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics, and priorities that the Division plans…
SEC Actions
This Week In Securities Litigation (Week of October 16, 2023)
Last week the Commission filed two new enforcement actions. The agency also adopted certain new rules and/or amendments regarding short selling and beneficial ownership. SEC Rules: The Commission adopted a…
The Securities Law Blog
SEC Adopts Rule to Increase Transparency Into Short Selling and Amendment to CAT NMS Plan for Purposes of Short Sale Data Collection
The Securities and Exchange Commission today adopted new Rule 13f-2 to provide greater transparency to investors and other market participants by increasing the public availability of short sale related data. Congress…