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.



Sign up for a 7-day FREE trial today!



Latest News in Securities

  • March 18, 2024

    HSBC Securities Can't Exit Ex-Rep's Whistleblower Suit

    A New York federal judge on Monday green-lit a whistleblower retaliation suit by a former HSBC Securities employee who claimed he was fired for reporting "rampant front-running" by HSBC traders, saying that while certain claims must be trimmed the suit plausibly alleges protected activity was a contributing factor to his termination.

  • March 18, 2024

    Ex-Autonomy CEO's Fraud Trial Over $11.7B HP Deal Kicks Off

    Autonomy's former CEO Michael Lynch duped HP into buying his company at the inflated price of $11.7 billion, a federal prosecutor said Monday during opening statements in the British entrepreneur's criminal trial, while Lynch's lawyer countered his client had "all the money in the world" and no motive to commit fraud.

  • March 18, 2024

    SEC Fines Supervisor $47K Over Revenue Inflation Claims

    A former finance director of water treatment company Evoqua Water Technologies Corp. will pay the U.S. Securities and Exchange Commission nearly $47,000 to resolve claims that he was part of a scheme to inflate the company's revenue by $36 million.

  • March 18, 2024

    Petrillo Klein Nabs NY Consumer Protection Chief As Partner

    The former acting head of the Consumer Protection and Financial Enforcement Division of the New York State Department of Financial Services has joined Petrillo Klein & Boxer LLP, where he will focus on white-collar defense of both individuals and institutions.

  • March 18, 2024

    Fund Industry Sues SEC To Overturn New Dealer Definition

    Private fund associations sued the U.S. Securities and Exchange in Texas on Monday in the hopes of reversing the agency's recent decision to bring proprietary trading firms and some hedge funds under its authority as securities dealers, a decision that the suing groups have said could drive some hedge funds out of business.

See more Securities news

Securities

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
Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!