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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March 18, 2019
US Frees Banks To Transfer UK Swaps To EU In Hard Brexit
The Fed has set out measures to allow banks to transfer so-called legacy swaps from the U.K. to a subsidiary based in Europe or America without triggering tougher new margin requirements if Britain crashes out of the bloc without a deal.
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March 15, 2019
Hedge Fund Tries To Trim Verdict In NJ Stock Scheme Case
Counsel for a defunct hedge fund called on a New Jersey state court Friday to cut a roughly $5.4 million compensatory verdict won by Fairfax Financial Holdings Ltd. and its subsidiary by the amount of blame attributed to settling defendants in an alleged scheme to lower the Canadian insurance company’s share price.
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March 15, 2019
Broker Can’t Nix SEC’s Experts, Use Its Own In 'Layering' Suit
A New York federal judge said Thursday that a brokerage had failed to undermine the analyses of two experts the U.S. Securities and Exchange Commission intends to use in its suit over the alleged use of a market manipulation practice called "layering" and could not have them excluded from trial.
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March 15, 2019
Ex-Auburn Hoops Coach To Plead Guilty In NCAA Bribe Case
A former Auburn University coach accused in a college basketball corruption scheme will plead guilty next week, following convictions and guilty pleas in recent months against others facing related charges, according to a Friday filing in New York federal court.
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March 15, 2019
FDIC Strikes $335M Deal With PwC Over Colonial Bank Audits
The Federal Deposit Insurance Corp. said Friday that it has reached a $335 million settlement resolving its case against PricewaterhouseCoopers LLP over the accounting giant's audit work for the now-failed Colonial Bank, an amount that's roughly half of what an Alabama federal judge had previously said the agency was entitled to in damages.
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