Read Securities Law news, alerts, and legal commentary from leading lawyers and law firms:
Compliance Advice on SEC’s Market Access Rule from Julie Dixon of Titan Regulation
Lawyer: European M&A Could Rise Despite Risks
Bill on Bankruptcy: The Market's Unquenchable Thirst for Junk
Are Political Intelligence Practice Groups Too Risky?
Greenberger: Derivatives Legislation Would Seriously Weaken Dodd-Frank
Bill on Bankruptcy: Lehman Test Case on Judicial Nullification
S&C's Cohen: Brown-Vitter Punishes Banks For Being Big
Cohen: Cyprus Is Not A Template For Future Restructurings
Release of new book on the 'Best Practices Under the FCPA and Bribery Act"
Bill on Bankruptcy: Kodak Plan Bumps the Debt, Craters Stock
STOCK Act Loses Much of Its Teeth, but Members of Congress Aim to Change That
Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA
Bill on Bankruptcy: Lawyers Easily Make Simple Words Complicated
Raj Mahajan, Allston Trading CEO, Talks HFT and the Business of Prop Trading
Lessons Learned from the BizJet Executives FCPA Enforcement Actions
Konczal: Dodd-Frank Reforms Get Roughed Up in Court
Bill on Bankruptcy: ResCap Report, a Bargain at $83 Million
Sullivan & Cromwell's M&A Hotline is Ringing
Bill on Bankruptcy: Stockton May Win the Battle, Lose the War
NFA Chairman Chris Hehmeyer Talks Bankruptcy Reform
A report by U.S. Commodity Trading Futures Commission (CFTC) chief economist Andrei Kirilenko that shows the advantages of high-frequency traders over small investors is turning the public eye back toward trading and...more
The US Chamber of Commerce “praised” the FCPA Guidance. The Chamber did not get what it wanted but it had to recognize that the FCPA Guidance was helpful for businesses. The FPCA Guidance provides important information for...more
On November 25, 2012, the front page of the New York Post blasted the headline, “Drop Secret. Shred Alert! Covert cop files used as parade confetti.” The Post reported that shredded files appearing to contain material from...more
On October 23, the Department for Business, Innovation and Skills published a report entitled ‘The Future of Computer Trading in Financial Markets – An International Perspective’. The report is an analysis of the potential...more
Opposition is growing against the CFTCs preference for using the kill switch as a way to prevent mistakes caused by high-frequency trading.
In several recent speeches, CFTC commissioner Bart Chilton has praised kill...more
The U.S. Securities and Exchange Commission (SEC) has raised concerns about a “kill switch” approach to regulating high-frequency trading (HFT) platforms.
“We are realizing the one-size-fits-all rule is questionable,”...more
On 27 September 2012, the European Securities and Markets Authority (ESMA) published its draft technical standards in the European Market Infrastructure Regulation (EMIR). The technical standards supplement the level one text...more
On August 8, 2012, the U.S. Department of Justice (“DOJ”) and the U.S. Securities and Exchange Commission (“SEC”) announced agreements with the drug manufacturer Pfizer Inc. to settle allegations that a Pfizer subsidiary had...more
It’s said that once is happenstance; twice is coincidence; and three times is enemy action. With investors reeling from a series of trading technology glitches that have cost hundreds of millions of dollars, the U.S....more
Two weeks ago, the U.S. Securities and Exchange Commission (SEC) announced that it is looking into the technical glitches that plagued Facebook’s IPO on the Nasdaq Stock Exchange in May. Depending on what they find,...more
As of 1 April 2012, related warehouse companies are required to engage an independent practitioner to assure that the information barriers they have instituted are compliant with the London Metal Exchange’s rules and...more
In an important ruling dismissing a comprehensive securities class action complaint against Genzyme Corporation, the U.S. District Court for the District of Massachusetts held last week that regulatory comments and...more
The Canadian Advanced Technology Alliance (CATA) has just launched a new campaign in support of changing Canadian securities laws to permit crowdfunding. See the news release here.
Crowdfunding is the use of...more
As companies have migrated toward increasing dependence on digital technologies to conduct their operations, the risks to these companies associated with cybersecurity incidents have also increased. The consequences of a...more
Recent, high-profile cyber attacks and cybersecurity lapses have resulted in a serious focus on cybersecurity from the Obama administration, the Senate and the SEC. In the past year, there were reports of cyber thieves...more
The U.S. Securities and Exchange Commission (SEC) staff recently issued guidance concerning its views on disclosure obligations related to cybersecurity risks and cyber incidents. The SEC staff issued the guidance in response...more
The Guidance addresses a public company’s obligation to make certain disclosures concerning cybersecurity risks and cyber incidents.
On October 13, 2011, the Division of Corporation Finance of the U.S. Securities and...more
On March 22, 2011, the U.S. Supreme Court issued its opinion in Matrixx Initiatives, Inc. v. Siracusano, 562 U.S. ___ (2011), an important securities fraud class action with potential implications for pharmaceutical and...more
New Jersey Tax Court Finds “User Error” in Treatment of Extraterritorial Income; Discrimination Train Has Left the Station: U.S. Supreme Court Remands Alabama Railroad Case; Ouch! Taxpayer Seeks to Pierce Its Own Veil; Salt...more
Today, many of a company’s stakeholders, that is, your customers, employees, suppliers, partners and shareholders, get much of their information from online sources. The use, pervasiveness and ubiquity of social media and...more
The most recent theft of almost US$38 million in EU Emission Trading System carbon credits may shift political support in favor of centralization and abolition of national registries.
On January 20, 2011, the European...more
For the last five years, the Commissioner of Corporations has required that notices of exemption filed pursuant to Corporations Code § 25102(f) be filed electronically, except in cases of demonstrable hardship. See 10 CCR...more
A recent insider trading case against a doctor who was involved in clinical trials of a drug to treat hepatitis and allegedly tipped material, non-public information relating to those trials to a hedge fund manager, is...more
National Futures Association (NFA) has launched a new online system to assist futures commission merchants (FCMs) and introducing brokers (IBs) in developing anti-money laundering (AML) programs. The system is designed to...more
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