Securities Regulation Daily
Breaking news on securities regulations.
Breaking news and expert analysis on Securities Regulation.
What good is the right knowledge if it’s at the wrong time?
Breaking news and expert analysis
- View full summaries of federal and state court decisions
- Access full text of legislative and regulatory developments
- Customize your daily email by topic and/or jurisdiction
- Search archives for stories of interest
A complete daily report of the news that affects your world
- Get expert analysis written by subject matter specialists—created by attorneys for attorneys
- Track law firms and organizations in the headlines with our new “Who’s in the News” feature
- Promote your firm with our permissions policy.
24/7 access for a 24/7 world
- Forward information with special copyright permissions, encouraging collaboration between counsel and colleagues
- Save time with mobile apps for your iPhone, iPad, or Android
- Access all links from any mobile device without being prompted for user name and password
SEC issues long-awaited final rules on capital, margin, and segregation requirements for security swap-based participants
As called for by Dodd-Frank Act, the Securities and Exchange Commission is adopting capital and margin requirements for security-based swap dealers and major security-based swap participants.
Delaware high court revives Caremark claim against Blue Bell board
Proving a Caremark claim is notoriously difficult, but a Blue Bell shareholder adequately pleaded the absence of any board-level system for monitoring food safety.
SEC seeks comment on Securities Act registration exemptions
A new concept release reviews exemptions from registration and seeks comment on possible ways to how to improve several aspects of the existing exempt offering framework.
Appeals court upholds FINRA pay-to-play rule
The D.C. Circuit upheld the SEC’s approval of a FINRA rule barring placement agents from getting paid for soliciting government business after making political contributions.
KPMG hit with $50M penalty for stealing PCAOB inspection documents, cheating on exams
Enforcement Co-Director Steve Peiken said that in two separate courses of conduct, KPMG personnel attempted to compromise efforts to test their performance through the theft of confidential PCAOB...