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Enhanced Scrutiny

Latest

Petitioners Make Their Case That Pure… Petitioners Make Their Case That Pure Omissions Are Not Actionable Under Section 10(b) and Rule 10b-5.

What’s in a Name, Part II What’s in a Name, Part II

A Rare Advancement Trial Ends in a Rare… A Rare Advancement Trial Ends in a Rare Result

Securities and Investment Blog

Latest

Missouri Securities Division is… Missouri Securities Division is Investigating new Missouri Limited Liability Companies

The Evolution of a Wells Process and the… The Evolution of a Wells Process and the Anticipated SEC Sweeps

Wells Fargo Advisors, LLC wins FINRA… Wells Fargo Advisors, LLC wins FINRA Award sum of $15,300,000.00+ in Damage

Securities Litigation

Latest

Georgia Appellate Court Rejects Panel… Georgia Appellate Court Rejects Panel Manipulation Claims, Reverses Vacatur

FINRA Report Denies Arbitrator Selection… FINRA Report Denies Arbitrator Selection Manipulation

SCOTUS: Waiver of Arbitration Does Not… SCOTUS: Waiver of Arbitration Does Not Require Prejudice

Capital Markets & Securities Law Watch

Latest

SEC Adopts Final Rules Requiring Public… SEC Adopts Final Rules Requiring Public Company Cybersecurity Disclosures

SEC Division of Corporation Finance… SEC Division of Corporation Finance Issues Sample Comments to Enhance China-Specific Disclosures

SEC Share Repurchase Disclosure Rules… SEC Share Repurchase Disclosure Rules Adopted and Already Challenged

Securities Fraud Lawyer Blog

Latest

Balancing Investor Protection and… Balancing Investor Protection and Industry Competitiveness: The Debate Over Mandatory Insurance for FINRA Registered Representatives

Prohibiting Time and Price Discretion… Prohibiting Time and Price Discretion – A Case Study of Dominic Joseph Carlo

How unsuitable investments, unnecessary… How unsuitable investments, unnecessary commissions and fees can hurt a vulnerable investor: FINRA disciplines Christopher F. Harrington Jr.

Enforcement Highlights

Latest

SEC Examinations 2022 Priorities: Reg… SEC Examinations 2022 Priorities: Reg BI, ESG, Private Funds, Information Security & Operational Resiliency, and Crypto

FINRA Wades into the Controversial… FINRA Wades into the Controversial Deep-End of CCO Supervisory Liability

The SEC Sues Investment Advisory Firm in… The SEC Sues Investment Advisory Firm in Connection with Alleged Failure to Disclose Revenue Sharing and Other Financial Conflicts, as Well as Converting Clients to Wrap Accounts Without Considering Whether it is in Clients’ Best Interests

Public Chatter

Latest

Corp Fin Director Erik Gerding Talks… Corp Fin Director Erik Gerding Talks Risk Disclosure

In-House Corner: The Evolution of the… In-House Corner: The Evolution of the Audit Committee

Wednesday's Webcast: “Proxy… Wednesday's Webcast: “Proxy Season Roundtable – What You Need to Know Now”

Corporate & Securities Law Blog

Latest

In a Case of First Impression, Ninth… In a Case of First Impression, Ninth Circuit Addresses Personal Jurisdiction Issues Involving Non-Resident Corporation Providing a Web-Based Payment Processing Platform

Ninth Circuit Provides Guidance on SEC… Ninth Circuit Provides Guidance on SEC Rule 16b-3 Short-Swing Profit Liability Exemption

Hospital Mergers: The Value and… Hospital Mergers: The Value and Pitfalls

Securities Compliance Sentinel

Latest

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

Updated 2023--National Survey on… Updated 2023--National Survey on Restrictive Covenants

California Corporate & Securities Law Blog

Latest

Court Rules That Debate And Litigation… Court Rules That Debate And Litigation Do Not Necessarily A Controversy Make

Does One State Agency Have The Power To… Does One State Agency Have The Power To Declare Another State Agency's Regulation To Be Invalid?

Abandoning Cumulative Voting Does Not… Abandoning Cumulative Voting Does Not Extend Term Of Office

Federal Securities Law Source

Latest

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

Increasing commentary on the importance… Increasing commentary on the importance of ESG disclosure

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

Investigations and Enforcement Blog

Latest

The Introduction of the U.K. “Failure… The Introduction of the U.K. “Failure to Prevent Fraud” into Law

First to File: Issue 14 First to File: Issue 14

The UK Government Proposes Reform to the… The UK Government Proposes Reform to the Identification Doctrine to Combat Economic Crime

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

FCPA Professor

Latest

Checking In On The Murta Enforcement… Checking In On The Murta Enforcement Action

Issues To Consider From The Tysers And… Issues To Consider From The Tysers And H.W. Wood Enforcement Actions

Disclosure Deficiencies Lead To Books… Disclosure Deficiencies Lead To Books And Records And Internal Controls Violations

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