Aspen Publishing

Updates in Securities Regulation, 2019

Wendy Gerwick Couture


  • ISBN: 9781543808957

In stock.

  • Description

    The Securities Regulation Annual reviews the legislative, regulatory, and litigation developments in the dynamic area of securities regulation during the past year and previews issues that will likely arise in the year ahead. Securities regulation is evolving in response to recent changes in technology, presidential administrations, Securities and Exchange Commission leadership, and composition of the Supreme Court. The Annual provides concise and pithy updates across a variety of topics, contextualizes those developments, and predicts their future impacts, drawing from commentary by practitioners, scholars, and regulators. The Annual is intended for an audience of securities law scholars, practitioners, policymakers, and students.

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  • Additional Product Details

    Publication Date: 1/20/2019
    Copyright: 2019
    Pages: 90
    Paperback: 9781543808957

    Summary of Contents

    About the Author

    I. Introduction

    II. Definition of “Security”
    A. Blockchain-Based Currencies, Coins, and Tokens
    1. Initial Coin Offerings
    2. Trading in Cryptocurrencies
    B. Instruments in Virtual Space

    III. Issuer Exemptions from Registration
    A. Regulation D Exemptions
    B. Rule 701
    C. Regulation A Exemption
    D. Intrastate Crowdfunding Exemptions

    IV. Public Offerings and Trading
    A. Public Offerings
    1. Smaller Reporting Companies
    2. Confidential Review
    3. Potential Increase in Section 404(b) Thresholds
    4. Potential Expansion of Ability to “Test the Waters”
    B. Algorithmic and High Frequency Trading

    V. Mandatory Disclosures in SEC Filings
    A. Disclosure Effectiveness Review—Regulations S-K and S-X
    B. Quarterly Financial Reporting
    C. Pay Ratio Disclosure
    D. Political Spending Disclosure
    E. Environmental, Social, and Governance Disclosure

    VI. Section 10(b) of the Securities Exchange Act and Rule 10b-5
    A. Scheme Liability
    B. Presumptions of Reliance
    C. Territorial Scope
    D. Insider Trading

    VII. Securities Class Action Practice and Procedure
    A. Securities Litigation Uniform Standards Act
    B. Class Action Tolling
    C. Mandatory Arbitration of Securities Claims

    VIII. Securities and Exchange Commission Enforcement
    A. Administrative Proceedings
    1. Appointment of Administrative Law Judges
    2. Removal of Administrative Law Judges
    B. Whistleblowers
    1. Protection from Retaliation
    2. Whistleblower Awards

    IX. Foreign Corrupt Practices Act
    A. Extraterritorial Application to Accomplices and
    B. Incentives for Companies to Self-Report FCPA Violations

    X. Regulation of Broker-Dealers and Investment Advisers

    XI. Proxy Advisory Firms and Shareholder Proposals
    A. Proxy Advisory Firms
    B. Shareholder Proposals

    XII. Conclusion