Katz, Daniel Martin and Bommarito, Michael James and Soellinger, Tyler and Chen, James Ming, Law on the Market? Evaluating the Securities Market Impact of Supreme Court Decisions (August 24, 2015). Available for download at SSRN: http://ssrn.com/abstract=2649726 or http://dx.doi.org/10.2139/ssrn.2649726 “Do judicial decisions affect the securities markets in discernible and perhaps predictable ways? In other words, is… Continue Reading
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Category Archives: Securities Law
SEC Interpretation of “Whistleblower” Definition
SEC Interpretation of “Whistleblower” Definition Posted by Nicholas S. Goldin, Simpson Thacher & Bartlett LLP, on Sunday, October 4, 2015. “On August 4, 2015, the Securities and Exchange Commission (“SEC”) issued an interpretive release to clarify its reading of the whistleblower rules it promulgated in 2011 under Section 21F of the Securities Exchange Act of… Continue Reading
New SEC Rulemaking Database
SEC news release Sept. 24, 2015: “Strong regulations are central to the Commission’s mission. For more than 80 years, we have used rulemaking to establish a comprehensive framework for our securities markets that protects investors, enhances market integrity, and promotes capital formation. The rulemaking process is the means through which the Commission responds to the… Continue Reading
GAO Report – SEC Conflict Minerals Rule
SEC Conflict Minerals Rule: Initial Disclosures Indicate Most Companies Were Unable to Determine the Source of Their Conflict Minerals. GAO-15-561: Published: Aug 18, 2015. Publicly Released: Aug 18, 2015. “According to a generalizable sample GAO reviewed, company disclosures filed with the Securities and Exchange Commission (SEC) for the first time in 2014 in response to… Continue Reading
GAO Reports – SEC Conflict Minerals Rule, Unmanned Aerial Systems, U.S. Savings Bonds
SEC Conflict Minerals Rule: Initial Disclosures Indicate Most Companies Were Unable to Determine the Source of Their Conflict Minerals, GAO-15-561: Published: Aug 18, 2015. Publicly Released: Aug 18, 2015. Unmanned Aerial Systems: FAA Continues Progress toward Integration into the National Airspace, GAO-15-610: Published: Jul 16, 2015. Publicly Released: Aug 17, 2015. U.S. Savings Bonds: Future… Continue Reading
Google Maps Streetview Player
Excellent work by Brian Folts – “The google maps streetview player will take in either a starting point and end point, or a provided file of a route and provide a playthrough of the google streetview images that are available.” Users may choose from a list of languages to enter origin and destination. Continue Reading
SEC and CFTC Turn to Swaps and Security-Based Swaps Enforcement
Harvard Law School Forum on Corporate Governance and Financial Regulation – July 5, 2015 – Annette L. Nazareth, Davis Polk & Wardwell: “The week of June 15, 2015 saw two of the first publicly announced enforcement actions brought by the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) to enforce security-based swap… Continue Reading
SEC Re-Proposes Rules on Security-Based Swaps
Harvard Law School Forum on Corporate Governance and Financial Regulation: SEC Re-Proposes Rules on Arranging, Negotiating or Executing Security-Based Swaps, Annette L. Nazareth, Davis Polk & Wardwell LLP, June 21, 2015 “On May 13, 2015, the SEC published proposed amendments and re-proposed rules on the application of certain Title VII requirements to cross-border security-based swap activities… Continue Reading
Disclosure of Material Information: A Cross-National Comparison
Baker, H. Kent and Haslem, John A., Disclosure of Material Information: A Cross-National Comparison (June 4, 2015). International Journal of Accounting Education and Research, Vol. 13, No. 1, pp. 1-16, Fall 1977 (With Robert H.Chenhall and Roger H. Juchau). Available for download at SSRN: http://ssrn.com/abstract=2614537 “In recent years the controversy over disclosure and materiality in… Continue Reading
New GAO Reports: Homeland Security, SEC’s Internal Controls, SEC Oversight of FINRA, Southwest Border, Needy Families, USAID
Homeland Security: Actions Needed to Better Manage Security Screening at Federal Buildings and Courthouses, GAO-15-445: Published: Mar 31, 2015. Publicly Released: Apr 30, 2015. Management Report: Improvements Needed in SEC’s Internal Controls and Accounting Procedures, GAO-15-387R: Published: Apr 30, 2015. Publicly Released: Apr 30, 2015. Securities Regulation: SEC Can Further Enhance Its Oversight Program of… Continue Reading
SEC Staff and FINRA Issue Report on National Senior Investor Initiative
“With the Social Security Administration estimating that each day for the next 15 years, an average of 10,000 Americans will turn 65, the staff of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today issued a report to help broker-dealers assess, craft, or refine their policies and procedures for investors… Continue Reading
Is the Price Right? An Empirical Study of Fee-Setting in Securities Class Actions
Baker, Lynn A. and Perino, Michael A. and Silver, Charles, Is the Price Right? An Empirical Study of Fee-Setting in Securities Class Actions (February 11, 2015). Columbia Law Review, 2015, Forthcoming; U of Texas Law, Law and Econ Research Paper; St. John’s Legal Studies Research Paper No. 15-0003. Available at SSRN: http://ssrn.com/abstract=2584649 “Every year, fee… Continue Reading
