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
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SEC Pubishes Final Rule and Guidance on SRO Rulemaking Process
The SEC published on its website the final rule and new interpretive guidance to improve the rulemaking process for exchanges and other self-regulatory organizations (SROs). The SEC previously voted to approve the final rule and…
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SEC Announces Participants in Round Table on Fair Value Accounting and Auditing Standards
The SEC announced the panelists and agenda for its July 9 roundtable on fair value accounting and auditing standards. The roundtable will be organized into two panels. The first panel will focus on fair value…
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Industry Initiatives to Increase Transparency in European Securitisation Markets Released
Nine European and global trade associations, including SIFMA, released Ten Industry Initiatives to Increase Transparency in the European Securitisation Markets in response to the European Council of Finance Ministers’ (ECOFIN) call, in its October 2007…
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Paulson Calls for Expanded Role for Fed Reserve
Treasury Secretary Paulson, in a speech in London, refined his vision for a modern U.S. financial regulatory structure, first outlined in the Treasury Dept's Blueprint released in March. Noting that the Bear Stearns collapse illustrated…
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New York Court Throws Out Remaining Claims Against Grasso
It looks like former NYSE CEO Richard Grasso gets to keep all his money. A week after the New York Court of Appeals threw out four claims against him, the state's intermediate appellate court threw…
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Court Enters Fraud Judgment Against Investment Adviser
The federal district court in the Southern District of New York entered a final judgment against defendant Francis J. Saldutti ("Saldutti"), permanently enjoining Saldutti from violating the antifraud provisions of the federal securities laws and…
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SEC Files Backdating Charges Against Microtune and its former CEO and CFO/GC
The SEC filed civil fraud charges relating to backdating stock options against Microtune, Inc. and two former senior officers—former Chairman and Chief Executive Officer Douglas J. Bartek and former Chief Financial Officer and General Counsel…
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SEC Releases Text of Proposed Changes to SEC Rules Relating to Credit Ratings
The SEC published for public comment proposed rule changes that are intended to make the limits and purposes of credit ratings clear to investors and to ensure that the role assigned to ratings in SEC…
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9th Circuit Decides Misappropriation Case in Favor of SEC
In an important case on the scope of the misappropriation theory of inside trading under Rule 10b-5, the 9th Circuit held that a director of a corporation could be held liable when he purchased shares…
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No Venture IPOS in Second Quarter
There were no venture-based companies making IPOs in the second quarter, for the first time in 30 years, according to a report by the National Venture Capital Associates and Thomson Reuters. The reasons -- nervous…