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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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…
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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…
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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…
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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…
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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…
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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…
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House Financial Services Committee Passes Investor Protection Legislation
The House Financial Services Committee voted (41-28) on Nov. 4 to recommend the Investor Protection Act of 2009(Download H.R.3817) that has a variety of measures intended to improve investor protection and increase investor confidence. Here…
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Merge Healthcare and Two Former Officers Settle SEC Accounting Fraud Charges
The SEC settled charges that Milwaukee-based Merge Healthcare Incorporated and two former senior executives engaged in an accounting fraud that ultimately caused the company's stock price to drop by two-thirds during a seven-month period. The…
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Three Former Symbol Technologies Settle Accounting Fraud Charges
On November 2, 2009, the United States District Court for the Eastern District of New York entered final consent judgments against three defendants in the pending enforcement action against former executives of Symbol Technologies, Inc.…
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SEC Charges Two Former J.P. Morgan Securities Officers in Alabama Illegal Payments Scheme
The SEC filed fraud charges against Charles E. LeCroy and Douglas W. MacFaddin, two former directors of J.P. Morgan Securities Inc. in connection with an unlawful payment scheme which allowed J.P. Morgan Securities to obtain…