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Securities
Securities Law360 provides breaking news and analysis on securities law and corporate governance. Coverage includes high-stakes shareholder litigation, government enforcement actions, and related policy developments.
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Latest News in Securities
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December 12, 2024
Cantor Fitzgerald To Pay SEC $6.75M Over SPAC Disclosures
Cantor Fitzgerald on Thursday agreed to pay a $6.75 million penalty to the U.S. Securities and Exchange Commission to resolve claims that it caused two special purpose acquisition companies that it controls to make misleading statements to investors ahead of the SPACs' initial public offerings.
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December 12, 2024
Payments Co. Marqeta Faces Investor Suit Over Growth Woes
Card issuing and transaction processing company Marqeta Inc. faces a proposed investor class action alleging it concealed the impact that heightened regulatory scrutiny of its small bank partners would have on the growth of its business.
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December 12, 2024
Incora's Opt-Outs Not Like Class Actions, US Trustee Says
The U.S. Trustee's Office on Thursday objected to the third-party releases in the Chapter 11 plan from aircraft parts supplier Incora, arguing in a Texas bankruptcy court that the opt-out mechanism for the releases is not comparable to class action procedures.
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December 12, 2024
SEC Fines Investment Co. For Adviser's Cherry-Picking Scheme
The U.S. Securities and Exchange Commission announced Thursday that it fined SeaCrest Wealth Management $375,000 for allegedly failing to implement policies and procedures that would have possibly prevented the cherry-picking scheme of a former adviser, who is separately being sued by the agency.
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December 12, 2024
Bitcoin Investor Gets 2 Years For Tax Fraud In Landmark Case
An investor who concealed millions of dollars he earned in bitcoin and became the first person criminally charged for failing to report gains from the sale of cryptocurrency by filing false returns was sentenced to two years in federal prison Thursday.
Areas of Coverage
- AGENCIES
- U.S. Securities and Exchange Commission
- U.S. Commodity Futures Trading Commission
- U.S. Department of Justice
- Self-regulatory organizations
- State and international securities regulators
- POLICY & REGULATION
- Dodd-Frank Act
- Employee Retirement Income Security Act
- Investment Advisers Act
- Investment Company Act
- Private Securities Litigation Reform Act
- Foreign Corrupt Practices Act
- Sarbanes-Oxley Act
- Securities Act
- Securities Exchange Act
- Securities Investor Protection Act
- International banking legislation and regulation
- ENFORCEMENT
- Fraud investigations
- Insider trading charges
- LITIGATION
- Accounting and securities fraud suits
- Shareholder class actions, including derivative suits
- Suits over mortgage-backed securities, credit-default swaps, and other high-risk assets
- Proxy battles and hostile takeover suits
- Securities disputes in bankruptcy cases
- ERISA suits
- PROFILES
- Personnel moves
- Profiles of securities practices
Readership
- Securities and white collar lawyers at top law firms
- Corporate counsel and compliance officers at Fortune 1000 companies
- Information experts at law firms, agencies, and companies
- Policymakers at federal and state agencies
- Judges and court staff across the U.S.
- Professors, students, and library staff at every accredited law school in the U.S.
- Attorney and law firm marketing professionals