The Securities Experts Roundtable is a group of securities expert witnesses that provides continuing professional education and promotes ethics and integrity among its members. It publishes a quarterly newsletter which provides commentary on securities arbitration issues, with a slighly different viewpoint from our securities litigator perspective. I have used, worked with and […]
Tag: The Securities Law Blog
SEC Proposes Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers”
The Securities and Exchange Commission today proposed two rules that would require market participants, such as proprietary (or principal) trading firms, who assume certain dealer functions, in particular those who as act as liquidity providers in the… Read the Full Press Release Have a securities law question? Call New York […]
SEC Proposes Amendments to Remove References to Credit Ratings from Regulation M
The Securities and Exchange Commission today voted to propose changes that would remove the references to credit rating agencies from existing exceptions provided in Rule 101 and Rule 102 of Regulation M, a set of rules designed to preserve market… Read the Full Press Release Have a securities law question? […]
SEC Proposes Rules to Enhance and Standardize Climate-Related Disclosures for Investors
The Securities and Exchange Commission today proposed rule changes that would require registrants to include certain climate-related disclosures in their registration statements and periodic reports, including information about climate-related risks that… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Bitcoin: Definition, origin and risks
Bitcoin is a virtual ‘cryptocurrency’ traded much like real money. Bitcoin is a virtual currency known as a ‘cryptocurrency that can be traded between buyers and sellers much like “real” money is. One of the very first and most high-profile cryptocurrencies launched, Bitcoin is also the most well-known of this […]
Biden Signs Executive Order on Cryptocurrency
On March 9, President Biden signed an Executive Order (the Order) to establish the first comprehensive federal digital asset strategy for the U.S., which would promote digital asset innovation while balancing benefits and associated risks. The order directs the Justice Department, U.S. Department of the Treasury, the Board of Governors […]
SEC Awards Approximately $14 Million to Whistleblower
The Securities and Exchange Commission today announced an award of about $14 million to a whistleblower who published an online report exposing an ongoing fraud. The whistleblower, who days later shared the same information with the SEC and was… Read the Full Press Release Have a securities law question? Call […]
SEC Investor Advisory Committee to Discuss Artificial Intelligence and Cybersecurity on March 10
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting remotely on March 10 at 10:00 a.m. ET. The meeting is open to the public via live webcast, and will be archived on the committee’s website for later… Read the Full Press Release Have a securities law question? Call […]
SEC Charges Venture Capital Fund Adviser with Misleading Investors
The Securities and Exchange Commission today charged venture capital fund adviser Alumni Ventures Group, LLC (AVG) with making misleading statements about its management fees and engaging in inter-fund transactions in breach of fund operating agreements… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
SEC Charges Health Care Co. and Two Former Employees for Accounting Improprieties
The Securities and Exchange Commission today announced settled charges and an $18 million penalty against Baxter International Inc. for engaging in improper intra-company foreign exchange transactions that resulted in the misstatement of the company’s… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
