News & Analysis as of September 25, 2024

Securities › Generally Accepted Accounting Procedures

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Second Circuit Clarifies Nature of Actionable Opinions Under Securities Laws

Proskauer - Corporate Defense and Disputes on 8/23/2023

The U.S. Court of Appeals for the Second Circuit held that a statement of opinion that reflects some subjective judgment can nevertheless be actionable under the securities laws if it misleads investors into thinking that the...more

Securities Snapshot: 1st Quarter 2023 - 2022 Final Rules Now in Effect: What You Need to Know

Keating Muething & Klekamp PLL on 3/29/2023

Securities and Exchange Commission rulemaking continued at a brisk pace in the first quarter of 2023 as the Commission implemented several significant reporting and compliance regulations adopted in 2022. Final rules and...more

Glossary of Important Securities Regulation Terms and Definitions

Adler Pollock & Sheehan P.C. on 8/20/2015

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

SEC Files Settled Financial Fraud Actions

Dorsey & Whitney LLP on 4/9/2014

The SEC filed financial fraud actions against drug store giant CVS Caremark Corporation and its Retail Controller, Laird Daniels, CPA. CVS was charged with “intentional misconduct” based on alleged violations of Exchange Act...more

"SEC Provides Custody Rule Relief for Privately Offered Securities"

Skadden, Arps, Slate, Meagher & Flom LLP on 8/22/2013

On August 1, 2013, the Division of Investment Management of the Securities and Exchange Commission published an IM Guidance Update (the “Update”) regarding Rule 206(4)-2 (the “Custody Rule”) under the Investment Advisers Act...more

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