Securities Law Updates

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PIMCO v. Mayer Brown: Adopting the “Attribution” Standard for Secondary Actors

By Josh Lawler and Joel B. Ginsberg of Zuber & Taillieu LLP

The Second Circuit has held that secondary actors can be held liable for Rule 10b-5 damages actions only for false statements attributed directly to the secondary actor at the time of their dissemination. In Pacific Investment Management Co. v. Mayer Brown, 603 F.3d 144 (2nd Cir. 2010), the Court of… More...

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House Financial Services Committee Approves Legislation to Legalize Internet Gaming

Internet Gambling Regulation, Consumer Protection, and Enforcement Act of 2009  |  H.R. 2267  |  7/28/2010

The House Financial Services Committee has passed legislation to enable Americans to bet online and put an end to an inappropriate interference with their personal freedom. More...

Senators Leahy, Cornyn, Kaufman, and Grassley Introduce Bill to Strike SEC FOIA Exemptions

Freedom of Information Act Amendments to the Securities and Exchange Act, Investment Company Act and Investment Advisers Act  |  S._____  |  8/5/2010

Leading members of the Senate Judiciary Committee has introduced legislation to strike Freedom of Information Act (FOIA) exemptions for the Securities and Exchange Commission that were included in the recently enacted Wall Street Reform bill. More...

House Passes Conyers Oil Spill Liability Bill

Securing Protections for the Injured from Limitations on Liability Act  |  H. R. 5503  |  7/1/2010

The House of Representatives has passed H.R. 5503, the Securing Protections for the Injured from Limitations on Liability Act (SPILL Act). Introduced by Judiciary Committee Chairman John Conyers, Jr. (D-Mich.) and Louisiana Gulf Coast Congressman Charlie Melancon (D-La.), this legislation focuses on fixing loopholes in liability statutes so that the victims of the Deep Horizon explosion can be fairly treated. More...

House Passes Historic Financial Reform Legislation

Dodd-Frank Wall Street Reform and Consumer Protection Act  |  H.R. 4173  |  6/30/2010

By a vote of 237-192, largely on party lines, the U.S. House of Representatives has approved a landmark legislation that boldly seeks to restore responsibility and accountability in the country’s financial system. More...

Bill Creating $30B Investment Pool for Small Banks Goes to Senate After House Passage

Small Business Lending Fund Act of 2010  |  H.R. 5297  |  6/17/2010

By a vote of 241 to 182, with 9 members abstaining, the U.S. House of Representatives has passed the Small Business Lending Fund Act, H.R. 5297, a plan proposed earlier this year by President Barack Obama to establish a $30 billion pool of capital for community banks. More...

House, Senate Legislation Would Ban Foreign-Controlled Corporations, Government Contractors from Making Political Expenditures to Influence Elections

The DISCLOSE Act  |  H.R. 5175  |  4/29/2010

U.S. Senators Charles E. Schumer (D-NY), Russ Feingold (D-WI), Ron Wyden (D-OR), Evan Bayh (D-IN) and Al Franken (D-MN) have unveiled a new legislation to blunt the harmful impacts from the Supreme Court’s decision allowing corporations and other special interests to spend unlimited sums to influence elections. More...

European Parliament Committee Approves Legislation Regulating Alternative Investment Funds

EP Economic and Monetary Affairs Committee Draft Legislation on Alternative Investment Funds  |  No. ________  |  5/17/2010

The European Parliament (“EP”) Economic and Monetary Affairs Committee has approved a draft European Union (“EU”) law regulating managers of alternative investment funds, including hedge funds. More...

Legislative Amendment Adds Anti-Fraud, Whistleblower Protections to Wall Street Reform Bill

Amendment to Restoring American Financial Stability Act of 2010  |  Amendment in Senate to S. 3217  |  5/4/2010

Leading members of the Senate Judiciary Committee have filed an amendment to the Wall Street reform legislation that will increase law enforcement resources to root out and prosecute financial and securities fraud, and will strengthen protections for whistleblowers who help expose financial fraud. More...

New Amendment to Wall Street Reform Bill to Repeal Antitrust Exemption for Health Insurers Filed

Health Insurance Industry Antitrust Enforcement Act  |  S. ____  |  5/5/2010

Senate Committee on the Judiciary Patrick Leahy (D-Vt.) has filed an amendment to the pending Wall Street reform legislation (“Restoring American Financial Stability Act of 2010,” S. 3217) to repeal the health insurance industry’s exemption from federal antitrust laws. More...

Senate Agriculture Committee Passes Bill Regulating $600 Trillion Over-the-Counter Derivatives Market

Wall Street Transparency and Accountability Act of 2010  |  S. ______  |  4/21/2010

Voting 13 to 8, the Senate Committee on Agriculture, Nutrition and Forestry passed the Wall Street Transparency and Accountability Act of 2010, a legislation designed to reform the unregulated $600 trillion over-the-counter derivatives market. More...

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Companies Mentioned

Securities Law

The following companies are mentioned in Securities Law Updates:

Securities and Exchange Commission

Harris Associates, L.P.

Banc of America Securities LLC

Citicorp USA, Inc.

The Public Employees’ Retirement System of Mississippi

Morgan Stanley & Co., Inc.

Jan Charles Finance S.A.

Park East, Inc.

CIBC World Markets Corp.

Citigroup Inc.

Barclays Capital Inc.

Citigroup Global Markets, Inc.

Florida State Board of Administration

Credit Suisse Securities (USA) LLC

Credit Lyonnais Securities (USA) Inc.

The Cleaners & Caulkers Local 1 Pension Fund

Credit Suisse, New York Branch

Ameriprise Financial, Inc. f.k.a. American Express Financial Corp.

Deutsche Bank AG

California Department of Corporations

The Royal Bank of Scotland plc

RiverSource Investments, LLC

Harris Nesbitt Corp.

Consolidated Management Group, LLC

The Bank of Nova Scotia

Asset Management Holding AG

Deutsche Bank

Toronto Dominion Texas, LLC f.k.a. Toronto Dominion Texas, Inc.

Alex Brown, Inc.

Tellabs, Inc.

Deutsche Bank Securities, Inc.

Mizuho International PLC

SG Cowen Securities Corp.

Makor Issues & Rights, Ltd.

ABN AMRO Inc.

Lydia Capital, LLC

Suntrust Capital Markets, Inc.

Tribune Company

Fleet Securities, Inc. n.k.a. Bank of America, N.A.

City of Philadelphia Board of Pensions and Retirement

The Bank of New York Company, Inc.

Staples, Inc.

CIBC, Inc.

Citibank, N.A.

Metal Management, Inc.

European Metal Recycling, Ltd.

Salomon Smith Barney Inc. n.k.a. Citigroup Global Markets, Inc.

Calyon Securities (USA), Inc. f.k.a. Credit Lyonnais Securities (USA) Inc.

Salomon Smith Barney, Inc.

Calyon New York Branch (successor by operation of law to Credit Lyonnais New York Branch)

Additional Resources

Securities Law