Legal Developments in Securities Law

January 26, 2016

SEC Investigations: What Happens at each Step of an Investigation? In the news recently, many different stages of an SEC investigation have been reported on – the city of Miami and Miami-Dade county received subpoenas which asked for communications with executives and representatives of the Marlins, a Major League Baseball team, and Harbinger Capital and … Continue reading “Legal Developments in Securities Law”

Legal Developments in Securities Law

January 26, 2016

Update: SEC Appeals Judge Rakoff’s Ruling Denying Proposed Settlement One of our earlier blog posts referenced Judge Rakoff’s criticism of the SEC’s proposed settlement with Citigroup – found here. Unsurprisingly, Judge Rakoff rejected the parties’ proposed settlement. The SEC has now filed an appeal, citing legal error and claiming that, “We believe the district court … Continue reading “Legal Developments in Securities Law”

Legal Developments in Securities Law

January 26, 2016

Dodd-Frank Update: Final Rule on Accredited Investor Standard This week, the SEC released a final rule on the net worth standard for accredited investors. The accredited investor standards, in Rules 215 and 501 under the Securities Act of 1933, are important to determine whether certain exemptions from registration apply under the securities laws. This is … Continue reading “Legal Developments in Securities Law”

Legal Developments in Securities Law

January 26, 2016

A Look Back at 2011: The Biggest Securities Law News of the Year 2011 was a big year in securities law – from the Galleon Group insider trading convictions to the beginning of the SEC’s whistleblower program under Dodd-Frank. Here, we’ll review the top five securities law stories from 2011. 5. Judge Rakoff Challenges Settlements … Continue reading “Legal Developments in Securities Law”

Legal Developments in Securities Law

January 26, 2016

Investors and Investment Advisers Beware: The Use of Social Media in Financial Services Recently, the SEC charged an investment adviser for violations of the securities laws based on offerings on LinkedIn. Social media has obviously taken on a greater role in everyday life in recent years, with many businesses utilizing outlets like Facebook, Twitter, LinkedIn, … Continue reading “Legal Developments in Securities Law”

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