Law360’s Post

Securities lawsuits premised on short-seller reports come up short: https://ow.ly/rUOc50RztmP

The primary defense to the slew of SEC cases claiming unlicensed dealer activity by convertible note investors, has been that the enforcement actions are an arbitrary and capricious interpretation of the dealer statute and that the defendant’s had no reasonable grounds in which to conclude their activity could require licensing as a dealer. #SecuritiesLawBlog #SEC #ALCLAW

The primary defense to the slew of SEC cases claiming unlicensed dealer activity by convertible note investors, has been that the enforcement actions are an arbitrary and capricious interpretation of the dealer statute and that the defendant’s had no reasonable grounds in which to conclude their activity could require licensing as a dealer. #SecuritiesLawBlog #SEC #ALCLAW

The Pivotal Role of Securities Class Action Lawsuits in Deterring Corporate Fraud https://lnkd.in/eNWKJPE3

The primary defense to the slew of SEC cases claiming unlicensed dealer activity by convertible note investors, has been that the enforcement actions are an arbitrary and capricious interpretation of the dealer statute and that the defendant’s had no reasonable grounds in which to conclude their activity could require licensing as a dealer. #SecuritiesLawBlog #SEC #ALCLAW

The primary defense to the slew of SEC cases claiming unlicensed dealer activity by convertible note investors, has been that the enforcement actions are an arbitrary and capricious interpretation of the dealer statute and that the defendant’s had no reasonable grounds in which to conclude their activity could require licensing as a dealer. #SecuritiesLawBlog #SEC #ALCLAW

Get a recap of arguments in case that challenges the SEC's new private fund rules, a new SEC rule could mean you'll have to register as a dealer, new SEC FAQs tied to IA ad rule and much more with the latest RCW Weekly Briefing! #RCW #RegulatoryCompliance #SEC #PrivateFunds #Fraudsters

E-Trade is currently deliberating a ban on one of its prominent meme stock traders following his recent disclosure of a significant position and I was honored to be on CNBC with Brian Sullivan last night to discuss! Our discussion underscores the risk trading platforms face, particularly in a world of social media and meme stocks, in maintaining market integrity and protecting users from potentially disruptive trading behaviors. (And in the full video you can hear why you shouldn't go to law school if you ever want to start a business.) Will be interesting to see what happens next! #SECEnforcement #SEC #Risk #Brokers #Memestocks #HomeOfficeRecordingStudio Vinson & Elkins

Vedder Price is proud to sponsor the Securities Enforcement Forum Central 2024 on Tuesday, September 24th at the Ritz-Carlton Chicago, hosted by Securities Docket. Rachel Copenhaver, a Shareholder in the Government Investigations & White Collar Defense practice group, will join an esteemed panel in the session titled “Masterclass – Managing a True Corporate Crisis/Major Internal Investigation.” Follow the link below to find out how you can attend this unique conference that highlights the most important issues facing attorneys and professionals in the securities enforcement field. #GovernmentInvestigations #WhiteCollarDefense #SecuritiesEnforcement #InternalInvestigations #RegulationandEnforcementTrends

The U.S. Securities and Exchange Commission recently fined an advisory firm $950,000 for failing to make timely disclosures in the lead up to a takeover bid in May 2022. The SEC’s order found that the firm violated the beneficial ownership provisions of federal securities laws when it failed promptly to report its control purpose and ownership position in a company it intended to acquire. Click for more > https://ow.ly/oSRs50QToZv As a reminder, in October 2023 the SEC adopted shorter reporting deadlines for beneficial ownership with compliance required from 30 September 2024 > https://ow.ly/GQAG50QToZw #sec #compliance #enforcement #RQCGroup