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15 results found


Dorsey & Whitney LLP | USA | 11 May 2012

This week in securities litigation (week ending May 11, 2012)

International was a key theme this week.


Dorsey & Whitney LLP | USA | 15 Nov 2011

SLUSA bars breach of duty claim tangled with misrepresentation

The Securities Litigation Uniform Standards Act of 1998 or SLUSA was passed to prevent a class action plaintiff from circumventing the stringent pleading requirements of the Private Securities Litigation Reform Act by filing in state court.


Dorsey & Whitney LLP | USA | 8 Apr 2011

This week in securities litigation (April 8, 2011)

Prosecutors concluded their case-in-chief in the Galleon insider trading trial this week.


Latham & Watkins LLP | USA | 8 Feb 2011

The municipal advisor minefield

In a recent release (the Release), the Securities and Exchange Commission (the SEC) proposed final rules relating to the registration of municipal advisors as mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank).


Locke Lord LLP | USA | 18 May 2010

SDFL judge finds for Wachovia in unique auction rate securities suit

A federal judge in the United States District Court for the Southern District of Florida recently issued findings of fact and conclusions of law following a bench trial in favor of Wachovia in a suit brought by investors who were unable to liquidate certain Auction Rate Securities ("ARS") originally purchased through Wachovia.


Hall & Wilcox | Australia | 18 Dec 2009

Recent developments in the regulation of debentures

The last few years have seen a string of high profile collapses involving debentures where there appears to have been a loophole in the legislation regarding their regulation.


Eversheds Sutherland (US) LLP | USA | 6 Nov 2009

SEC Chairman speaks at SIFMA annual conference

SEC Chairman Mary A. Schapiro spoke at the SIFMA (Securities Industry and Financial Markets Association) annual conference on the following.


Katten Muchin Rosenman LLP | USA | 30 Oct 2009

FINRA chairman discusses regulatory developments, investment advisor and broker-dealer oversight

In his October 27 speech at the annual meeting of the Securities Industry and Financial Markets Association, Financial Industry Regulatory Authority Chairman and Chief Executive Officer Richard Ketchum continued to endorse a fiduciary standard of care for both investment advisors and broker-dealers who provide investment advice.


Baker & Hostetler LLP | USA | 28 May 2009

Tax-exempt debt market reform legislation

The House Financial Services Committee held a hearing on May 21, 2009, on four bills to address problems in the tax-exempt debt market.


Eversheds Sutherland (US) LLP | USA | 10 Nov 2008

DOL proposes ERISA exemptions to facilitate liquidity for retirement plans holding auction rate securities

On November 7, 2008, the Department of Labor proposed four individual prohibited transaction exemptions, requested by broker-dealers, that would facilitate liquidity for ERISA plans or IRAs holding auction rate securities (ARS) for which the Dutch auction process has failed.

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