Topic
Securities
6,683 published works
Public Chatter
If the Government Shuts Down, Corp Fin Will Barely Function
By Broc Romanek
We barely avoided a federal government shutdown, but it still could happen 45 days hence since what Congress funded was a stopgap measure. If there is a shutdown in mid-November,…
D&O Discourse
Putting All Our Eggs in One Basket: Effective Securities Class Action Defense Must Look Beyond the Motion to Dismiss
By Doug Greene
The Reform Act was passed by the Contract-with-America Congress to address its perception that securities class actions were reflexive, lawyer-driven litigation that often asserted weak claims based on little more…
SEC Actions
This Week In Securities Litigation (Week of October 2, 2023)
The Government fiscal year concluded on Saturday. A Government shutdown was avoid. At the same time the drive to file new cases at the Commission ended. In the last week…
New York Venture Hub
SEC’s First Two NFT Enforcement Actions Cast Shadow of Ambiguity
The Securities and Exchange Commission recently brought its first two enforcement actions against issuers of non-fungible tokens (NFTs), resulting in cease-and-desist orders, penalties and other remedies, finding that the NFTs…
Oregon Whistleblower’s Blog
SEC Whistleblower Program
The U.S. Securities and Exchange Commission (SEC) whistleblower program is a crucial initiative designed to encourage individuals to report violations of federal securities laws, thus promoting transparency and integrity in…
SEC Actions
Family Insider Trading
Insider trading is well known as a violation of the federal securities laws. While many are not familiar with those statutes, insider trading has been discussed in films, news papers…
SEC Actions
This Week In Securities Litigation (Week of September 25, 2023)
As we near the end of the Government fiscal year, the Commission filed a variety of cases. The cases focused on offering frauds, cross trading, short sales, a breach of…
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:Madison Condon, What's Scope 3 Good For?, 56 UC Davis L. Rev. 1921 (2023).Henry David Gale,…
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:Atinuke O. Adediran, Disclosing Corporate Diversity, 109 Va. L. Rev. 307 (2023).Matt Donovan, Note, Ripple Effect:…
The CLS Blue Sky Blog
SEC Chair Gensler Speaks on Updates to the Names Rule
By Gary Gensler
Today [September 20], the Commission is considering final rules to update the Names Rule. I am pleased to support this rule adoption because it will help ensure that a fund’s…