Securities Law Prof Blog

Covers corporate law news, issues and regulatory developments relating to securities law.

Author: Barbara Black, a law professor and director of the Corporate Law Center at the University of Cincinnati College of Law, edits Securities Law Prof Blog, which is part of the Law Professor Blogs Network.

Blawg Related Categories: Corporate Law • Government Law • Law Professors • Securities Law • University of Cincinnati • Law Professor

Recent Posts from Securities Law Prof Blog

Miller & Rosenfeld on Intellectual Hazard
Intellectual Hazard: How Conceptual Biases in Complex Organizations Contributed to the Crisis of 2008, by Geoffrey P. Miller, New York University - School of Law, and Gerald Rosenfeld, New York University - School of Law,…
Morgenson on ARS Arbitration
Gretchen Morgenson, the New York Times financial columnist, addresses the plight of investors in auction rate securities (ARS) whose investments, sold on the basis of their liquidity and safety, became illiquid as a result of…
SEC's Aguilar on Investor Protection
This week the House Financial Services Committee, in the now somewhat ironically called "Investor Protection Act of 2009," added an amendment that would permanently exempt companies with $75 million or less market capitalization from the…
SEC Division of Risk, Strategy & Financial Innovation Announces 3 Senior Appointments
No doubt in response to criticisms that the SEC lacks expertise, the agency announced three senior appointments in the fields of risk management, structured finance and corporate transactions to its newly created Division of Risk,…
Frank Asks SEC and CFTC for Input on Derivatives Legislation
House Financial Services Committee Chairman Barney Frank sent a letter to Commodity Futures Trading Commission Chairman Gary Gensler and Securities and Exchange Commission Chairman Mary Schapiro seeking their input on efforts to strengthen the derivatives…
Statement on Convergence of IASB and FASB
Not as interesting as insider trading, but the SEC Chair Mary Schapiro stated today that: "I am greatly encouraged by the commitment of the IASB and the FASB to provide greater transparency to the standard…
NASAA Expresses Concern over Proposed Expansion of FINRA Authority over Investment Advisers
Earlier today I blogged on the proposed Investor Protection Act that the House Financial Services Committee passed earlier this week. Here is NASAA's statement on the bill and, in particular, whether FINRA should regulate investment…
Government Charges 14 Defendants with Insider Trading
The government's investigation into insider trading and hedge funds continues. The government today charged 14 defendants with insider trading in complaints connected to the charges filed against hedge fund manager Raj Rajaratnam. Defendants include money…
Supreme Court Hears Oral Argument in Excessive Mutual Fund Fees Case
The U.S. Supreme Court heard oral argument Monday in Jones v. Harris Associates, a case that could impact the amount of managerial fees that millions of mutual fund investors pay fund advisers. The Court must…
Value Line Settles SEC Charges of Bogus Brokerage Commissions
The SEC settled charges that New York City-based investment adviser Value Line Inc., its CEO, its former Chief Compliance Officer and its affiliated broker-dealer defrauded the Value Line family of mutual funds by charging over…