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Securities Law Exchange

Latest

Just In! More Guidance on Material… Just In! More Guidance on Material Cybersecurity Incidents (Item 1.05 of Form 8-K)

Certain Members of Congress Urge SEC to… Certain Members of Congress Urge SEC to Enforce Existing Climate Disclosure Rules During Litigation

Update on Litigation Timeline of SEC’s… Update on Litigation Timeline of SEC’s Climate Disclosure Rules

Free Writings + Perspectives

Latest

SEC Filing Fees SEC Filing Fees

FINRA Update on Crypto Asset Activities FINRA Update on Crypto Asset Activities

SDNY Issues Final Ruling on SEC v.… SDNY Issues Final Ruling on SEC v. Ripple

Securities litigation and enforcement

Latest

False or Misleading Public Statements… False or Misleading Public Statements Made by Reporting Issuers in the Tech Industry

Acceleration of Regulatory Scrutiny… Acceleration of Regulatory Scrutiny Towards Crypto Assets Trading Platforms

Quebec’s Financial Markets… Quebec’s Financial Markets Administrative Tribunal imposes exemplary penalties and sanctions on individuals who committed insider trading violations in the midst of a going-private transaction

The Securities Edge

Latest

Gun-Jumping Lives! Gun-Jumping Lives!

THE WEEK THAT WAS: THE FEDERAL COURTS… THE WEEK THAT WAS: THE FEDERAL COURTS PUMMEL THE SEC (AMONG OTHERS)

Nothing Succeeds Like Excess: Musings on… Nothing Succeeds Like Excess: Musings on Executive Compensation

Securities Litigation and Regulatory Enforcement

Latest

SEC and DOJ Charge Founder and Promoters… SEC and DOJ Charge Founder and Promoters of “HyperFund” with $1.7 Billion Crypto Pyramid and Ponzi Scheme

Judge Rules That Terraform’s Crypto… Judge Rules That Terraform’s Crypto Assets Are Securities

SEC Charges Real Estate Fund Adviser… SEC Charges Real Estate Fund Adviser with Misappropriating $35 Million and Later Manipulating the Market in a Fake Tender Offer to Acquire WeWork

SEC Actions

Latest

This Week In Securities Litigation (Week… This Week In Securities Litigation (Week of September 9, 2024)

Offering Fraud Targets… Offering Fraud Targets Venezuela-American Community

This Week In Securities Litigation (Week… This Week In Securities Litigation (Week of September 3, 2024)

Andrew Abramowitz, PLLC

Latest

Heads-Up for the Corporate Transparency… Heads-Up for the Corporate Transparency Act

Remote Work – Post-Pandemic Update of… Remote Work – Post-Pandemic Update of an Old Post

Tips on Limiting Liability for Passive… Tips on Limiting Liability for Passive Investors in Private Companies

FCPA Professor

Latest

FEPA Remains A Muddy Mess FEPA Remains A Muddy Mess

Oztemel Trial Begins Oztemel Trial Begins

Assistant Chief Of The DOJ’s FCPA Unit… Assistant Chief Of The DOJ’s FCPA Unit To FCPA Inc.

IM Insights

Latest

FINRA Issues Comprehensive Guidance on… FINRA Issues Comprehensive Guidance on Compliance and Risk Monitoring

SEC Seeks to Level the Playing Field… SEC Seeks to Level the Playing Field with New Fund of Funds Rule

Newly Released SEC Statement Permits… Newly Released SEC Statement Permits Closed-End Funds’ Reliance on Control Share Acquisition Statutes as Defensive Measure

Investigations and Enforcement Blog

Latest

We Are Moving “Investigations &… We Are Moving “Investigations & Enforcement Blog” to a New Web Platform

Disruptive Technology Strike Force: Year… Disruptive Technology Strike Force: Year in Review

Asia Pacific 2023 Anti-Corruption… Asia Pacific 2023 Anti-Corruption Rankings: Transparency International’s CPI and the TRACE Bribery Risk Matrix

Life Sciences Securities Litigation

Latest

Annual Securities Class Action Report… Annual Securities Class Action Report Shows Life Sciences Firms Remain a Top Target for Claims

The BAYADA Companies Settle FCA and… The BAYADA Companies Settle FCA and Kickback Allegations for $17M

DOJ Announces $160 Million Settlement… DOJ Announces $160 Million Settlement with Mail-Order Diabetic Testing Supplier and Parent Company

Federal Securities Law Source

Latest

Take charge of compliance: Ensure your… Take charge of compliance: Ensure your business meets Federal Corporate Transparency Act reporting requirements

Deadline approaching for public… Deadline approaching for public companies to adopt Dodd-Frank clawback policies

House votes to expand access to… House votes to expand access to accredited investor status

California Corporate & Securities Law Blog

Latest

California Court Upholds Daily… California Court Upholds Daily Transaction Limits On Bitcoin ATMs

Does The SEC's Jurisdiction Really… Does The SEC's Jurisdiction Really Extend To Any Person?

Looking For A Drink At 3 A.M.? Soon, You… Looking For A Drink At 3 A.M.? Soon, You May Find One Here

Securities Compliance Sentinel

Latest

The Dealerization of America by the SEC The Dealerization of America by the SEC

Updated 2023 Interactive Survey of State… Updated 2023 Interactive Survey of State 'Blue Sky' Filing Requirements Facilitates Compliance

Why Does the SEC Whine so Much? The… Why Does the SEC Whine so Much? The Sec’s Attack on Lawyers and a Way out of This Mess

Corporate & Securities Law Blog

Latest

Ninth Circuit Applies Birnbaum Rule to… Ninth Circuit Applies Birnbaum Rule to Affirm Dismissal of Claims by SPAC Investors Asserted Against Target Company Executives for Pre-Merger Statements

AI Considerations in Government… AI Considerations in Government Contract-Related M&A Transactions

Supreme Court Limits SEC’s Enforcement… Supreme Court Limits SEC’s Enforcement Power to Penalize Fraud

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