Securities Law Updates

Featured Expert Legal Commentary

Amgen Inc. v. Connecticut Retirement Plans & Trust Funds: Supreme Court Sides with Investors in Securities Fraud Class Action

By Josh Lawler of Zuber Lawler & Del Duca

In a 6-3 decision, the Supreme Court recently held that plaintiffs alleging § 10(b) securities fraud do not need to prove the materiality of a defendant’s alleged fraudulent statements and omissions in order to receive class certification, settling a circuit split. In Amgen Inc. v. Connecticut Retirement Plans & Trust… More...

More Securities Law Updates

Page 1 of 26 of Securities Law Summaries » New Statutes, Regulations and Rules
 1 2 3 >  Last »

Agencies Approve Interim Final Rule Authorizing Retention of Interests in and Sponsorship of Collateralized Debt Obligations Backed Primarily by Bank-Issued Trust Preferred Securities

Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities with Regard to Prohibitions  |  SEC No. 2014-9 , 17 CFR Part 255, Release No. BHCA-2, RIN: 3235-AL5  |  1/14/2014

Five federal agencies have approved an interim final rule to permit banking entities to retain interests in certain collateralized debt obligations backed primarily by trust preferred securities (TruPS CDOs) from the investment prohibitions of section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, known as the Volcker rule. More...

Interpretive Guidance on Municipal Advisor Registration Rules Now Out

Interpretive Guidance on Municipal Advisor Registration Rules  |  SEC No. 2014-7  |  1/10/2014

The Securities and Exchange Commission has announced that its Office of Municipal Securities has issued interpretive guidance to address questions from market participants regarding the implementation of new final SEC rules requiring municipal advisors to register with the SEC. More...

New Date Announced for Compliance with Final Municipal Advisor Registration Rules

Temporary Stay of Final Rule on Registration of Municipal Advisors  |  SEC No. 2014-8, 17 CFR Parts 240, 249 and 250, Release No. 34-71288,  |  1/15/2014

The Securities and Exchange Commission has announced that compliance with the final municipal advisor registration rules will not be required until July 1, 2014, the date on which the first set of municipal advisors will be required to register under the final rules. More...

SEC Announces 2014 Examination Priorities

Examination Priorities for 2014  |  SEC No. 2014-5  |  1/9/2014

The Securities and Exchange Commission has announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies, broker-dealers, clearing agencies, exchanges and other self-regulatory organizations, hedge funds, private equity funds, and transfer agents. More...

SEC Proposes Rules to Increase Access to Capital for Smaller Companies

Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act  |  SEC No. 2013-265, 17 CFR PARTS 230, 232, 239, 240 AND 260  |  12/18/2013

The Securities and Exchange Commission has voted to propose rules intended to increase access to capital for smaller companies. More...

Agencies Issue Final Rules Implementing the Volcker Rule

Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private E  |  17 CFR Part 255 Release No. BHCA-1; File No. S7-41-11  |  12/10/2013

Five federal agencies on Tuesday, December 10, 2013, issued final rules developed jointly to implement section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Volcker Rule”). More...

SEC Issues Proposal on Crowdfunding

Crowdfunding  |  SEC No. 2013-227, 17 CFR Parts 200, 227, 232, 239, 240 and 249  |  10/23/2013

The Securities and Exchange Commission has voted unanimously to propose rules under the JOBS Act to permit companies to offer and sell securities through crowdfunding. More...

Financial Regulators Propose Joint Standards for Assessing Diversity Policies and Practices of Regulated Entities

Joint Standards for Assessing Diversity Policies and Practices of Regulated Entities  |  SEC No. 2013-228, Docket ID OCC-2013-0014, Release No. 34-70731; File No. S7-08-13  |  10/23/2013

Six federal financial regulatory agencies have proposed joint standards for assessing the diversity policies and practices of the institutions they regulate. More...

Board of Governors Authorizes FINRA to File Recruitment Compensation Proposal with the SEC

Proposed Rule on Broker’s Recruitment Compensation  |  FINRA No. ____  |  9/19/2013

The Financial Industry Regulatory Authority (FINRA) has announced that its Board of Governors approved a proposal requiring brokers to disclose recruitment compensation paid to them as an incentive to move to a new firm. More...

FINRA Issues Public Statement, Framework Regarding FINRA's Approach to Economic Impact Assessment for Proposed Rulemaking

Framework Regarding FINRA's Approach to Economic Impact Assessment for Proposed Rulemaking  |  FINRA No. ____, September 19, 2013  |  9/19/2013

The Financial Industry Regulatory Authority (FINRA) has issued a public statement, Framework Regarding FINRA's Approach to Economic Impact Assessment for Proposed Rulemaking. FINRA's framework, authored by the Office of the Chief Economist, will help ensure that its rules are better designed to protect the investing public and maintain market integrity while minimizing unnecessary burdens. More...

Page 1 of 26 of Securities Law Summaries » New Statutes, Regulations and Rules
 1 2 3 >  Last »
The most advanced document                
         management system in the world.

Only $59 / person / month
FeaturesLawLoop Demo
FeaturesWelcome to the Future
Play LawLoop Demo

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.

ABN AMRO Bank N.V.

Guardian Capital Management

Free Enterprise Fund

Banc of America, N.A.

Vesta Insurance Group, Inc.

Beckstead and Watts, LLP

Barclays Bank PLC

Torchmark Corp.

Public Company Accounting Oversight Board

BNY Capital Markets, Inc.

KPMG Peat Marwick, LLP

Deloitte & Touche LLP

Credit Lyonnais Securities (USA) Inc.

Florida State Board of Administration

Credit Suisse Securities (USA) LLC

Deutsche Bank AG

The Cleaners & Caulkers Local 1 Pension Fund

Credit Suisse, New York Branch

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

Harris Nesbitt Corp.

California Department of Corporations

The Royal Bank of Scotland plc

RiverSource Investments, LLC

Asset Management Holding AG

Deutsche Bank

Consolidated Management Group, LLC

The Bank of Nova Scotia

Alex Brown, Inc.

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

SG Cowen Securities Corp.

Tellabs, Inc.

Deutsche Bank Securities, Inc.

Mizuho International PLC

Lydia Capital, LLC

Suntrust Capital Markets, Inc.

Makor Issues & Rights, Ltd.

ABN AMRO Inc.

Tribune Company

Additional Resources

Securities Law