21,181 results found

The SEC Office of Investor Education and Advocacy ("OIEA") described the risks and benefits of variable life insurance. In a new Investor Bulletin ...

Seyfarth's Greg Markel and Sarah Fedner co-authored an article, "Why Are Securities Class Action Mediations Different," in the New York Law Journal on March 20.

The Ninth Circuit has amended its opinion in a securities fraud class action against a pop culture collectibles manufacturer, clarifying that the company's risk disclosures improperly framed already-realized harms as hypothetical future risks. The court denied petitions for panel rehearing and rehearing en banc, maintaining its partial reversal of the district court's dismissal of claims under Sections 10(b) and 20(a) of the Securities Exchange Act.

On June 11, the Securities and Exchange Commission (SEC) requested a stay of proceedings in a pending class action lawsuit challenging the SEC's implementation of the Consolidated Audit Trail (CAT).

Judge Denise Cote granted in part and denied in part UBS’s motion to dismiss a lawsuit filed against it by the National Credit Union Administration.

Frank C. Razzano authored the SRLJ article, "What Lies Ahead: Halliburton v. Erica P. John Fund, Inc.," which discusses a recent United Supreme Court decision dealing with class actions.

Under the guidance, advising funds and advisers should conduct periodic cybersecurity assessments, create strategies to respond to threats, and account for obligations under federal securities laws.

The SEC announced that it will examine 50 registered broker-dealers and investment advisers to determine their preparation for preventing cybersecurity attacks.

The SEC has entered into settlements on charges with two investment advisers based on misleading statements in their SEC filings regarding their use of Artificial Intelligence technology

On July 26, 2023, the Securities and Exchange Commission (the "SEC"), voted to adopt new rules for public companies that will require disclosures regarding "material" cybersecurity incidents...

On March 9, 2022, the Securities and Exchange Commission proposed rules that are intended to enhance disclosures about cybersecurity risk management, strategy, governance, ...

Partners Donna Parisi and Jennifer Morton co-authored an article for Reuters.

The U.S. Securities and Exchange Commission (SEC) recently settled two initial coin offering (ICO) enforcement actions grounded on the sale of unregistered securities.

The U.S. Bitcoin and Treasury Investment Trust (the "Trust") filed a registration statement with the SEC for an initial public offering of the Trust's common shares.

Many in the crypto industry have been calling for clear guidance from government regulators, especially as new sectors like DeFi evolve and high-profile companies collapse.

The EU regulation on improving securities settlement in the EU and on central securities depositories was published in the Official Journal of the European Union.

The European Securities and Markets Authority published Guidelines for the management body of market operators and data reporting services providers ("DRSPs").

On January 5, ESMA published a peer review report aimed at assessing how national competent authorities apply the exemption for market making activities foreseen in Article 17 of the Short Selling Regulation.