Securities Law provides a resource hub for legal interpretations of new SEC© rules, mandates, or discussions.
Publisher: Reuters Author: Sarah Lynch A U.S. appeals court handed the Securities and Exchange Commission a victory on Tuesday by dismissing a challenge from two state Republican parties to the SEC© pay-to-play rule for investment advisers. Republicans in New York…
Publisher: Reuters Author: Noeleen Walder U.S. prosecutors have charged nine people over their alleged roles in a insider trading scheme to obtain corporate press releases before they were made public, which they said generated more than $30 million of illegal trading…
Publisher: Wall Street Journal Author: Jean Eaglesham Wall Street traders Ryan King and Thomas Gonnella were online buddies, chatting about college football and the late-season collapse of the Atlanta Braves as they sold each other millions of dollars worth of bonds. But when Mr.…
Publisher: International Business Times Author: Owen Davis The mood was downbeat during the 2015 annual shareholder meeting at Barrick Gold, the world’s largest gold mining company. Barrick’s share price had tumbled 33 percent in the past year, and doubts swirled…
Publisher: Reuters Author: Sarah Lynch U.S. securities regulators proposed new rules on Wednesday that would require mutual funds and other asset managers to report much more detailed data about their holdings. The Securities and Exchange Commission's plan is one of…
Publisher: Fortune Author: Dan Primack When normal people nod off behind the wheel, they hopefully wake up with a start and immediately course-correct. But when the SEC© is driving, it just shrugs and goes back to sleep. That’s the lesson…
Publisher: Law360 Author: Stephanie Russell-Kraft Former US SEC© Commissioner Chair Christopher Cox urged the agency Wednesday to exercise more discretion in its use of administrative proceedings in order to fight the troubling appearance that they unfairly favor the SEC. Speaking…
Publisher: CNBC Author: Bob Pisani On the fifth anniversary of the Flash Crash, I sat down with SEC© Commissioner Dan Gallagher to talk about what changes have been made to the way trading has been conducted since then. The conversation quickly…
Publisher: Morgan Lewis As the SEC© continues to focus on it’s whistleblower initiative, companies should review their agreements and policies in light of the latest SEC© actions. The SEC’s Office of the Whistleblower has made clear that it will use…
Publisher: Marketwatch Author: Eric Garcia Supporters of a rule that would require public companies to disclose the ratio between executive and median employee pay say the SEC© should move soon to enact the regulation. Under Dodd-Frank law, publicly traded companies…