Securities
Securities Law360 provides breaking news and analysis on securities law and corporate governance. Coverage includes high-stakes shareholder litigation, government enforcement actions, and related policy developments.
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Latest News in Securities
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August 16, 2017
Facebook Says Video Data Correction Was Mistake, Not Fraud
Facebook Inc. urged a California federal judge Tuesday to throw out a shareholder suit accusing the social media giant of intentionally reporting wrong video advertising information, saying the suit was over a mistake, not securities fraud.
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August 16, 2017
Ex-Bankrate Execs Settle SEC's Accounting Scheme Claims
A New York federal court on Wednesday signed off on settlements between the U.S. Securities and Exchange Commission and two former Bankrate Inc. executives in a suit accusing them of improperly inflating earnings to meet analysts’ predictions for the personal finance information company.
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August 16, 2017
DC Atty Says SEC Suit Over Brother's Scheme Is 'Flawed'
A Washington, D.C., lawyer-turned-real estate agent whom the U.S. Securities and Exchange Commission has accused of helping out with her brother’s $14.5 million Ponzi scheme asked a Massachusetts federal judge on Tuesday to toss the agency’s complaint, calling it “fatally flawed.”
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August 16, 2017
Insurers Say Kokesh Means JPMorgan Can't Get $300M
Insurers looking to get out of paying roughly $300 million to JPMorgan Chase & Co. for settlement costs that Bear Stearns paid in a U.S. Securities and Exchange Commission deal asked a New York state judge Wednesday to revive the lawsuit they lost, citing the U.S. Supreme Court’s recent finding in Kokesh that disgorgement is a penalty.
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August 16, 2017
Compliance Adviser Settles SEC Case For $30K, Suspension
A North Carolina compliance consultant has struck a deal to resolve U.S. Securities and Exchange Commission allegations that his work as chief compliance officer for two investment advisory firms led to their failure to file timely and accurate disclosure reports, the agency said Tuesday.
Areas of Coverage
- AGENCIES
- U.S. Securities and Exchange Commission
- U.S. Commodity Futures Trading Commission
- U.S. Department of Justice
- Self-regulatory organizations
- State and international securities regulators
- POLICY & REGULATION
- Dodd-Frank Act
- Employee Retirement Income Security Act
- Investment Advisers Act
- Investment Company Act
- Private Securities Litigation Reform Act
- Foreign Corrupt Practices Act
- Sarbanes-Oxley Act
- Securities Act
- Securities Exchange Act
- Securities Investor Protection Act
- International banking legislation and regulation
- ENFORCEMENT
- Fraud investigations
- Insider trading charges
- LITIGATION
- Accounting and securities fraud suits
- Shareholder class actions, including derivative suits
- Suits over mortgage-backed securities, credit-default swaps, and other high-risk assets
- Proxy battles and hostile takeover suits
- Securities disputes in bankruptcy cases
- ERISA suits
- PROFILES
- Personnel moves
- Profiles of securities practices
Readership
- Securities and white collar lawyers at top law firms
- Corporate counsel and compliance officers at Fortune 1000 companies
- Information experts at law firms, agencies, and companies
- Policymakers at federal and state agencies
- Judges and court staff across the U.S.
- Professors, students, and library staff at every accredited law school in the U.S.
- Attorney and law firm marketing professionals