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September 2013

Wachtell Lipton on Liability Under the Federal Securities Laws

By Paul Vizcarrondo, Jr. September 3, 2013 by Jason Parsont

Our outline discussing the liability provisions of the federal securities laws – Sections 11, 12, 15 and 17 of the Securities Act of 1933, and Sections 10, 18 and 20 of the Securities Exchange Act of 1934 – has been …

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Editor's Tweet: Wachtell Lipton on Liability Under the Federal Securities Laws http://wp.me/p2Xx5U-1iO
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Each business day, our team sifts through blog posts, news stories, and other sources to keep up-to-date on relevant recent developments. The following links will take you to our recommended selections. To see the sources we follow click Filter Sources.

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Dealbook
Wall Street Uneasy in Face of Government Shutdown
September 30, 2013
Wall Street Journal
Companies Find a Faster IPO Turnaround Doesn’t Hurt
September 30, 2013
Wall Street Journal
A Red-Tape Turnoff for Startups
September 30, 2013
Dealbook
S.E.C. Again Takes On Mark Cuban in Insider Case
September 30, 2013
CorporateCounsel
Regulators Set Plans for Government Shutdown
September 30, 2013
Harvard Law School Forum
Basel III Framework: US/EU Comparison
September 29, 2013
Harvard Law School Forum
Proxy Voting Analytics (2009-2013)
September 29, 2013
Dealbook
Beats Gets Infusion of Capital From Carlyle Group
September 29, 2013
The Race to the Bottom
Directors, Disagreements and the Federal Securities Laws
September 29, 2013
Jim Hamilton's World
In letter to SEC, Senator McCain Says “London Whale” Enforcement Incomplete Until Individuals Charged
September 29, 2013
Harvard Law School Forum
Langevoort and Thompson on IPOs and the Slow Death of Section 5
September 26, 2013
Dealbook
SecondMarket to Let Investors Bet on Price of Bitcoins
September 26, 2013
The Race to the Bottom
The Continuing Problem of Vote Tallies
September 26, 2013
Dealbook
Longtime Madoff Accountant is Arrested
September 26, 2013
Dealbook
Britain Sues to Stop Cap on Bonuses for Bankers
September 26, 2013
Dealbook
In JPMorgan Case, a Missed Opportunity to Charge its Executives
September 25, 2013
Dealbook
Alibaba Is Said to Move Toward an IPO in the US
September 25, 2013
The Race to the Bottom
Pay Ratio Disclosure and Rulemaking Flexibility
September 25, 2013
Dealbook
ICAP to Pay $87 Million Fine in Libor-Fixing Case
September 25, 2013
Harvard Law School Forum
How Stock Exchange Indices Can Advance Good Corporate Governance Practices
September 25, 2013
Dealbook
As JP Morgan Settles Up Shareholders are Hit Anew
September 24, 2013
The Race to the Bottom
More Political and Social Disclosure Likely?
September 24, 2013
Bloomberg
Why Are the Feds Protecting SAC Capital’s Investors?
September 24, 2013
Dealbook
The Bankruptcy Question for Blackberry
September 24, 2013
Dealbook
Davidoff: Lax Rules Give U.S. Upper Hand in Tussle Over Alibaba IPO
September 24, 2013
The SEC Website
The Elimination of the Ban on General Solicitation and Advertising in Private Offerings Goes into Effect
September 23, 2013
Dealbook
A Deal for BlackBerry That’s Not Yet a Deal
September 23, 2013
Harvard Law School Forum
The Promise of the Enhanced Broker Internet Platform
September 23, 2013
The SEC Website
SEC adds Spotlight on Microcap Fraud
September 23, 2013
Dealbook
Union Push for I.P.O. Forces Filing at Chrysler
September 23, 2013
Dealbook
Rocket Fuel and FireEye IPOs More Than Double in Market Debut
September 20, 2013
Bloomberg
SEC Thinks Disclosing Worker Pay Will Shame CEO’s?
September 20, 2013
Dealbook
Davidoff on Vivendi and Activision Blizzard
September 20, 2013
Harvard Law School Forum
SEC Comm. Piwowar on the Credit Risk Retention Rule
September 20, 2013
Dealbook
Once Again, Punishing the Bank but Not Its Top Executives
September 20, 2013
The SEC Website
SEC Approves Registration Rules for Municipal Advisors
September 19, 2013
Dealbook
Goldman Settles Lawsuit Over eToys I.P.O.
September 19, 2013
Dealbook
Canada to Set Up New Securities Regulator
September 19, 2013
Harvard Law School Forum
New York Court Upholds Kenneth Cole Going Private Transaction
September 19, 2013
WSJ MoneyBeat
SEC Short Selling Crackdown: What is Rule 105?
September 19, 2013
AFL-CIO
AFL-CIO Opines on Pay Ratio Rule
September 18, 2013
Wall Street Journal
Jim Barrall Opines on Why SEC Rules on CEO Pay Will Hurt, Not Help
September 18, 2013
New York Times
In Surprise, Fed Decides Not to Curtail Stimulus Effort
September 18, 2013
Dealbook
S.&P. Bond Deals Are on the Rise Since It Relaxed Rating Criteria
September 18, 2013
Harvard Law School Forum
Does the Market for CEO Talent Explain Controversial CEO Pay Practices?
September 18, 2013
Harvard Law School Forum
Bebchuk’s Reply to Wachtell the Bebchuk Syllogism
September 17, 2013
Dealbook
Two-Name Race Drops to One, but Guessing Continues
September 17, 2013
Dealbook
Complying With U.S. Tax Evasion Law Is Vexing Foreign Banks
September 17, 2013
Bloomberg
The CFTC Is Beating the SEC on Speed-Trading Rules
September 17, 2013
Reuters
Civil settlement does not end JPM’s ‘Whale’ troubles
September 17, 2013
New York Times
Summers Pulls Name From Consideration for Fed Chief
September 16, 2013
Dealbook
JPMorgan Set to Pay Fines for Whale Trading Losses
September 16, 2013
CNN Money
Still no charges for Wall Street execs five years after crash
September 16, 2013
Bloomberg
How to Deter Misbehavior by Bankers
September 16, 2013
Dealbook
Looking To Twitter To Reignite Tech I.P.O.’s
September 16, 2013
Dealbook
Davidoff on Twitter’s “Initial Filing, in Fewer Than 140 Characters”
September 15, 2013
Dealbook
The Dell Deal Showed How Deals Aren’t Supposed to Work
September 15, 2013
Dealbook
Proudly Private, a Wall Street Brokerage Firm Marches On
September 15, 2013
Harvard Law School Forum
Disclosure Lessons From the 2013 Proxy Season
September 15, 2013
Reuters
Central bankers criticize SEC’s money-market proposals
September 15, 2013
The SEC Website
SEC Chair White Statement on Meeting With Leaders of Exchanges
September 12, 2013
Dealbook
Twitter Confidentially Submits Plans for IPO
September 12, 2013
Dealbook
Hilton Worldwide Files for an IPO
September 12, 2013
Dealbook
Dell Shareholders Approve $24.9 Billion Buyout
September 12, 2013
Harvard Law School Forum
Corporate Innovations and Mergers and Acquisitions
September 12, 2013
Dealbook
Verizon Set for record $49 Billion Debt Sale
September 11, 2013
Harvard Law School Forum
Court Curtails Territorial Reach of Criminal Liability Under Section 10(b)
September 11, 2013
Dealbook
Google’s Stock Settlement May Not Do Much For Shareholders
September 11, 2013
Bloomberg
FDIC Adopts Rule Change for US Bank Branches in UK
September 11, 2013
Jim Hamilton's World
G20 Leaders Pledge to Complete Derivatives Regulation, End too-Big-to-Fail, and Finish Reform of the Shadow Banking System
September 11, 2013
Reuters
JPMorgan’s board takes some power from Dimon
September 10, 2013
Dealbook
Lawyers for Corzine Seek Case’s Dismissal
September 10, 2013
Reuters
CFTC hones in on high-speed traders
September 10, 2013
Dealbook
Davidoff on the Frenzy over LinkedIn Shares
September 10, 2013
Bloomberg
Reserve Primary Fund Settles Lawsuit for $54.9 Million
September 10, 2013
Dealbook
S&P’s Counterattack on the Government
September 9, 2013
Dealbook
Ichan Calls off Fight Over Dell’s Sale
September 9, 2013
Dealbook
Neiman Marcus Is Sold for $6 Billion
September 9, 2013
Dealbook
Inside the End of the U.S. Bid to Punish Lehman Executives
September 9, 2013
Dealbook
NYSE Euronext to Invest in Start-Up for Private Stock Placements
September 9, 2013
Dealbook
Bank of America to Pay $39 Million in Gender Bias Case
September 7, 2013
Harvard Law School Forum
When Do Shareholders Care About CEO Pay?
September 6, 2013
Dealbook
A Banking Bankruptcy That Takes a Different Path
September 6, 2013
Reuters
Trader to pay $5.2 million to settle Smithfield insider trading case
September 6, 2013
Harvard Law School Forum
Agencies Re-Propose Rule Implementing Risk Retention Requirements of Dodd-Frank Act
September 6, 2013
CFO
SEC Warms to Social Media for Disclosures
September 5, 2013
Harvard Law School Forum
Facts Behind 2013 “Turnaround” Success for Say on Pay Votes
September 5, 2013
Dealbook
Amgen Investors Gain From Having an Ex-Investment Banker as C.E.O.
September 5, 2013
CNBC
Ronald Coase and the nature of shadow banking
September 5, 2013
Dealbook
Schwab Case Casts Spotlight on Securities Arbitration and Its Flaws
September 5, 2013
Bloomberg
S&P Calls U.S. Lawsuit ‘Retaliation’ for U.S. Downgrade
September 4, 2013
Dealbook
Thorny Side Effects in Silicon Valley Tactic to Keep Control
September 4, 2013
American Banker
‘Impossible’ Regulations Will Weed Out Small Banks: N.Y. Bank Chief
September 4, 2013
Dealbook
JPMorgan Case Tests U.S. Law on Buying Influence Abroad
September 4, 2013
Harvard Law School Forum
Adjusting to Shareholder Activism as the New Normal
September 4, 2013
New York Times
Famed Economist Ronald Coase Dies at 102
September 3, 2013
Dealbook
Microsoft Buys Nokia for $7.2 Billion
September 3, 2013
Dealbook
Davidoff on Dual-Class Share Structures
September 3, 2013
Dealbook
Texas Hedge Fund Takes a Big Stake in J.C. Penney
September 3, 2013
Dealbook
AMC Aims to Raise $400 Million in I.P.O.
September 3, 2013
Dealbook
Verizon Seals $130 Billion Deal to Buy Out Vodafone’s Wireless Stake
September 2, 2013
Dealbook
Proxy Access in Israel: A Lesson for Boardroom Battles
September 2, 2013
Jim Hamilton's World
Australian Securities Regulator Adopts High Frequency and Dark Trading Regulations
September 2, 2013
Harvard Law School Forum
Delaware Court Supports Morton’s Sale Process and PE Exit Motives
September 2, 2013
The Race to the Bottom
Harbinger and the Admission of Wrongdoing in SEC Enforcement Actions
September 2, 2013

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