SEC

Second Circuit to Shed Light on Personal Benefit Requirement for Tippee Liability

Anthony Chiasson’s infamous insider trading case has shed much light on the inequity underlying the inconsistencies of tippee liability.

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POSTED IN Banking & Finance, Corporate Law, Securities Regulation

Escaping Secondary Liability: the Ever-Increasing Scope of SLUSA

Just imagine: in a split second, your hard-earned lifesavings, and the financial security that accompanied it, vanishes. You have just discovered that you are the victim of a Ponzi scheme. Furious, you pledge to take action against every last party responsible for defrauding you.  Of course, having just lost all of your savings, you are not [...]

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POSTED IN Litigation, Securities Regulation, Supreme Court

14th Annual A.A. Sommer, Jr. Lecture, Featuring SEC Chair Mary Jo White

On Thursday, October 3, the 14th Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law was held in the McNally Amphitheatre at Fordham Law School.  The lecture series, established by Morgan, Lewis & Bockius LLP, provides a venue for leading regulators and policymakers in the global financial world to share insights into relevant [...]

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POSTED IN A.A. Sommer Jr. Lecture, SEC Investigations, Securities Regulation

Deal or No Deal

While it stretches the bounds of imagination to think of Mary Jo White as bald and with a small soul patch beneath her lower lip, she and her fellow Commissioners at the U.S. Securities and Exchange Commission (“SEC”) have recently morphed into a role akin to Howie Mandel in his popular television show “Deal or [...]

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POSTED IN SEC Investigations, Securities Regulation

Bitcoiners in the Court Room, Part I: Government Oversight

(Editor’s note: the following post comes to us from William B. Fleming and Joseph Evans from Gage Spencer & Fleming LLP.  You can also find the full article here.) Bitcoiners beware, in SEC v. Shavers, No. 4:13-cv-416, 2013 WL 4028182 (E.D. Tex. Aug. 6, 2013) the Eastern District of Texas ruled that investments in Bitcoin [...]

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POSTED IN Litigation, Practitioner Post, SEC Investigations, Securities Regulation

Announcement: Fordham Journal of Corporate & Financial Law’s 2012 Symposium – “Regulation of Over-the-Counter Derivatives” – February 13, 2012

The Fordham Journal of Corporate & Financial Law (FJCFL) and the Fordham Corporate Law Center are proud to announce that this year’s annual FJCFL symposium will be titled “Regulation of Over-the-Counter Derivatives” and will take place on Monday, February 13th, 2012 at 113 West 60th Street, Lowenstein Building, 12th Floor Lounge. Overview: This year’s symposium, titled “Regulation of Over-the-Counter [...]

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POSTED IN Dodd-Frank, Securities Regulation, Symposia

Press Coverage of Twelfth Annual Sommer Lecture featuring SEC Commissioner Troy A. Paredes

  Click on the article title to jump to piece: Regulating Wall Street In The Age of Disclosure Overload by Bill Singer Less but better disclosure may be more, U.S. SEC Commissioner Paredes says by Stuart Gittleman   Regulating Wall Street In The Age of Disclosure Overload By Bill Singer Forbes http://www.forbes.com/sites/billsinger/2011/11/30/regulating-wall-street-in-the-age-of-disclosure-overload/ Pinch me. Please. Again. [...]

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POSTED IN News & Events

The Philosophy and Practice of Disclosure

  Please find the transcript to the lecture here. On October 27, 2011, Commissioner Troy A. Paredes of the U.S. Securities & Exchange Commission, delivered the Corporate Law Center’s Twelfth Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law. The title of his lecture was “The Philosophy and Practice of Disclosure.”  

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POSTED IN A.A. Sommer Jr. Lecture, Featured Video

Twelfth Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law

  Please find the video to the lecture here. Transcript: Twelfth Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law “The Philosophy and Practice of Disclosure” Commissioner Troy A. Paredes U.S. Securities and Exchange Commission October 27, 2011   Thank you for the generous introduction. And thank you to Fordham Law School for [...]

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POSTED IN A.A. Sommer Jr. Lecture

Is FINRA Fatal? The Impact Of Extending SROs To Investment Advisers.

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for securities firms doing business in the United States. As a Self-Regulatory Organization (SRO), FINRA is tasked with market regulation through contract with major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, the NASDAQ Stock Market and the International [...]

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POSTED IN Dodd-Frank, Securities Regulation

- Fordham Corporate Center