securities regulation

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Latest blogosphere posts tagged “securities regulation”

 

• Corporate Practice Commentators "Top 11" Corporate and Securities Law Review Articles for 2012

  
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  The Corporate Practice Commentator has announced the results of its nineteenth annual poll to select the ten best corporate and securities articles. Teachers in corporate and securities law were... [[ This is a content summary only. Visit my website for full links, other content, and more! ]]
  1 week ago

• Vanderbilt Law Review En Banc – Roundtable: The JOBS Act and SEC Rulemaking

  
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  Vanderbilt Law Review En Banc is pleased to present our Spring 2013 Roundtable , which considers the SEC’s rulemaking authority under the JOBS Act of April 2012. Practicing securities attorney Douglas Ellenoff, and Professors Usha Rodrigues and Andrew Schwartz each consider the public policy rationales of the JOBS ...
  1 week ago

• Regulation in a Global Financial System

  
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  Editor’s Note: Mary Jo White is Chair of the U.S. Securities and Exchange Commission. This post is based on Chair Whites remarks at the Investment Company Institute (ICI) General Membership Meeting, which are available here . The views expressed in this post are those of Chair White and do not necessarily ...
  1 week ago

• The Need for Robust SEC Oversight of SROs

  
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  Editor’s Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on a statement by Commissioner Aguilar; the full text, including footnotes, is available here . The views expressed in the post are those of Commissioner Aguilar and do not necessarily reflect ...
  1 week ago

• JOBS Act Symposium

  
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  The University of Denver Online Law Review has published an online symposium on the JOBS Act. The issue (with the exception of the intro that Jay Brown wrote) is entirely student written. Students... [[ This is a content summary only. Visit my website for full links, other content, and more! ]]
  1 week ago

• Ive been filed with the SEC

  
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  Apparently the Hess Corporation is sending Jack Coffees and my posts about hedge funds paying director nominees to its shareholders, because its filed them as definitive additional proxy materials.... [[ This is a content summary only. Visit my website for full links, other content, and more! ]]
  2 weeks ago

• Supreme Court on “Market Abuse”

  
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  In a judgment delivered last Friday, the Supreme Court came down heavily on “market abuse” not just on the case at hand but more generally on the practice to the extent prevalent in India. The case, N. Narayanan v. Adjudicating Officer, SEBI , arose in the form of an appeal from the Securities Appellate ...
  2 weeks ago

• Responding to Objections to Shining Light on Corporate Political Spending (4): The Claim that Such Disclosure Would Give a Political Advantage to Unions

  
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  Editor’s Note: Lucian Bebchuk is Professor of Law, Economics, and Finance at Harvard Law School. Robert J. Jackson, Jr. is Associate Professor of Law and Milton Handler Fellow at Columbia Law School. Bebchuk and Jackson served as co-chairs of the Committee on Disclosure of Corporate Political Spending, which ...
  3 weeks ago

• BDCs and 1940 Act Funds

  
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  Editor’s Note: The following post comes to us from Lawton M. Camp , partner at Allen & Overy LLP specializing in structured finance and securitization, and is based on an Allen & Overy memorandum. Goldman Sachs recent filing with the Securities and Exchange Commission (SEC) to launch a "business ...
  3 weeks ago

• Regulation of Cross-Border OTC Derivatives Activities: Finding the Middle Ground

  
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  Editor’s Note: Elisse B. Walter is a Commissioner at the U.S. Securities and Exchange Commission and was the Chairman of the SEC from December 2012 to April 2013. This post is based on Commissioner Walters recent remarks at the American Bar Association Spring meeting, available here . The views expressed in this ...
  3 weeks ago

• Institutional Investors: Power and Responsibility

  
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  Editor’s Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Aguilars remarks at a recent CEAR Workshop in Atlanta, GA; the full text, including footnotes, is available here . The views expressed in the post are those of Commissioner Aguilar ...
  3 weeks ago

• Got Financing? You May Have to Extend Your Tender Offer

  
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  Editor’s Note: The following post comes to us from David A. Brittenham , corporate partner and the chair of the Finance Group at Debevoise & Plimpton LLP, and Alan H. Paley , corporate partner and co-chair of the Securities Group at Debevoise & Plimpton LLP. The post is based on a Debevoise & Plimpton ...
  3 weeks ago

• A Few Observations in the Private Fund Space

  
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  Editor’s Note: The following post comes to us from David W. Blass, chief counsel of the Division of Trading and Markets, U.S. Securities and Exchange Commission, and is based on Mr. Blass remarks before the American Bar Associations Trading and Markets Subcommittee in Washington, D.C., available here . The views ...
  4 weeks ago

• SEC Issues SOX 402 Guidance

  
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  Editor’s Note: Michael Oxley is of counsel at Baker & Hostetler LLP, and is former Congressman and Chairman of the House Financial Services Committee. Mr. Oxley co-authored the landmark Sarbanes-Oxley Act of 2002. The following post is based on a BakerHostetler memorandum by Mr. Oxley, Andrew W. Reich , and ...
  4 weeks ago

• SEBI Order in the Art Fund Case

  
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  Earlier this week, SEBI passed an order against Osian’s-Connoisseurs of Art Private Limited holding that the Osian Art Fund falls within the purview of the SEBI Act and the SEBI (Collective Investment Scheme) Regulations, 1999 (the CIS Regulations). Since the art fund had raised investments without registering with ...
  4 weeks ago

• Call for Papers: National Business Law Scholars Conference

  
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  I am delighted to pass along the following notice from the organizers of the National Business Law Scholars Conference.  I’m also honored to report that they have asked me to deliver the keynote at this year’s conference, and I look forward to doing so.   Deadline Extended to May 31 We have recei ved an ...
  4 weeks ago

• Fighting on Behalf of Investors Despite Efforts to Weaken Protections

  
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  Editor’s Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Aguilar’s remarks at the North American Securities Administrators Associations Annual NASAA/SEC 19(d) Conference; the full text, including footnotes, is available here . The views ...
  4 weeks ago

• How to Use Social Media for Regulation FD Compliance

  
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  Editor’s Note: Richard J. Sandler is a partner at Davis Polk & Wardwell LLP and co-head of the firm’s global corporate governance group. This post is based on a Davis Polk client memorandum. Regulation FD, adopted by the SEC in 2000, prohibits “selective disclosure” by requiring public companies to ...
  4 weeks ago

• Responding to Objections to Shining Light on Corporate Political Spending (3): The Claim that Political Spending is Good for Shareholders

  
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  Editor’s Note: Lucian Bebchuk is Professor of Law, Economics, and Finance at Harvard Law School. Robert J. Jackson, Jr. is Associate Professor of Law and Milton Handler Fellow at Columbia Law School. Bebchuk and Jackson served as co-chairs of the Committee on Disclosure of Corporate Political Spending, which ...
  4 weeks ago

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