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

SEC Charges Former Shuffle Master Executive with Insider Trading
On November 19, 2009, the Securities and Exchange Commission filed a civil injunctive action in the United States District Court for the District of Nevada against R. Brooke Dunn, a former executive at Shuffle Master,…
Henry Hu's Testimony on Derivatives Legislation
Testimony Concerning the Over-the-Counter Derivatives Markets Act of 2009 by Henry T. C. Hu, Director of the Division of Risk, Strategy, and Financial Innovation, U.S. Securities and Exchange Commission, Before the House Committee on Financial…
SEC Finds Broker-Dealer Orchestrated Lating Trading Fraud
The SEC, in an administrative proceeding, found that Joseph John VanCook, a former salesperson and partial owner of Pritchard Capital Partners, LLC, a registered broker-dealer, willfully violated Section 10(b) of the Securities Exchange Act of…
House Financial Services Committee Passes Amendment to Dismantle Firms "Too Large to Fail"
On Nov. 18 the House Financial Services Committee passed an amendment offered by Congressman Paul E. Kanjorski (D-PA), Chairman of the House Financial Services Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, to the…
SEC Sues Investor Relations Firm and Others for Illegal Sales of Securities
The SEC filed a civil action in the U.S. District Court for the Middle District of Florida, alleging that investor relations firm Big Apple Consulting USA, Inc. ("Big Apple"), its wholly-owned subsidiary MJMM Investments, LLC…
SEC & CFTC Issue Joint Orders on Security-Based Futures Contracts
The SEC and the CFTC issued two joint orders related to security-based futures contracts that clarify each Commission's respective jurisdiction and allow additional products to underlie security futures. The first joint order excludes certain foreign…
NY AG and AES Agree on Climate Change Disclosures
New York Attorney General Andrew M. Cuomo today announced an agreement that requires the AES Corporation (AES) - a global energy company operating in 29 countries with annual revenues exceeding $16 billion - to disclose…
Ohio AG Sues Rating Agencies
Ohio Attorney General Richard Cordray today filed a lawsuit against Standard & Poor’s, Moody’s and Fitch. The lawsuit, filed in United States District Court for the Southern District of Ohio on behalf of five Ohio…
SEC Approves Expansion of BrokerCheck Disclosure
Here is the link to the SEC's Order Approving a Proposed Rule Change Relating to Availability of Information Pursuant to FINRA Rule 8312 (FINRA BrokerCheck Disclosure). I blogged yesterday about the amendment to maintain the…
SEC Website Links to Short Sale Volume and Transaction Data
The SEC now posts on its website SHORT SALE VOLUME AND TRANSACTION DATA. It states that: To increase the transparency surrounding short sale transactions, several self-regulatory organizations (SROs) are providing on their websites daily aggregate…