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Category Archives: Monthly Review

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Federal Securities Law Blog’s Monthly Review (June 15, 2012 Edition)

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Today, the Federal Securities Law Blog takes a look back at the last 30 days in the federal securities world in a regular feature which appears on approximately the 15th of each month. In the last month, there were a number of interesting developments in FCPA cases, with mixed results for prosecutors and defendants. These and other matters from the last month are discussed in greater detail after the jump.…


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Federal Securities Law Blog’s Monthly Review (May 15, 2012 Edition)

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Today, the Federal Securities Law Blog takes a look back at the last 30 days in the federal securities world in a regular feature which appears on approximately the 15th of each month. The last month saw our Blog turn five years old, but more importantly, the SEC continued to provide guidance relating to the Jumpstart Our Business Startups Act ("JOBS Act"), and there were a host of issues in insider trading cases and cases involving companies in China. These and other matters from the last month are discussed in greater detail after the jump.…


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Federal Securities Law Blog’s Monthly Review (April 15, 2012 Edition)

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Today, the Federal Securities Law Blog takes a look back at the last 30 days in the federal securities world in a regular feature which appears on approximately the 15th of each month. Although our prior monthly reviews have examined litigation issues, we will be expanding our review to cover other issues. The biggest news this month has been the April 5, 2012 passage of the Jumpstart Our Business Startups Act ("JOBS Act"). The JOBS Act and other matters from the last month are discussed in greater detail after the jump.…


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Federal Securities Law Blog’s Monthly Litigation Review (March 15, 2012 Edition)

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Today, the Federal Securities Law Blog takes a look back at the last 30 days in the world of securities-related litigation in a regular feature which appears on approximately the 15th of each month. The biggest (and certainly most recent) news may be the Second Circuit’s ruling on March 15, 2012 granting the SEC’s motion to stay the proceedings before Judge Rakoff in Citigroup litigation. In other news, the SEC identified priorities as it began making its case for its budget for next year, while the FBI reported on their financial fraud cases. Insider trading and FCPA cases remained in the news as well, and the head of one of the more infamous Ponzi schemes was found guilty by a Texas jury. These cases and other matters from the last month are discussed in greater detail after the jump.…


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Federal Securities Law Blog’s Monthly Litigation Review (February 15, 2012 Edition)

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Today (a day early), the Federal Securities Law Blog takes a look back at the last 30 days in the world of securities-related litigation in a regular feature which appears on approximately the 15th of each month. In the last month, there were dramatic results in two FCPA trials. Also, while the Citigroup matter remains pending before the Second Circuit, a second settlement where the Court asked the SEC to address certain questions reached a conclusion. A record-setting insider trading scheme was brought, while one of the informants from the Raj Rajaratnam case reappeared in a new matter. These cases and other matters from the last month are discussed in greater detail after the jump.…


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Federal Securities Law Blog’s Monthly Litigation Review (January 15, 2012 Edition)

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Today, the Federal Securities Law Blog takes a look back at the last 30 days in the world of securities-related litigation in a regular feature which appears on approximately the 15th of each month. In the last month, events in the Citigroup matter continued to dominate the news, but there were some interesting developments in FCPA cases, insider trading cases and discovery issues. These cases and other matters from the last month are discussed in greater detail after the jump.…


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Federal Securities Law Blog’s Monthly Litigation Review (December 15, 2011 Edition)

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Today, the Federal Securities Law Blog takes a look back at the last 30 days in the world of securities-related litigation in a regular feature which appears on approximately the 15th of each month. In the last month, the most discussed issues have been two losses suffered by the federal regulators – one by the SEC where the Court refused to approve the settlement in the Citigroup matter and the other by criminal prosecutors, who saw the conviction in the Lindsey Manufacturing case vacated. These cases and other matters from the last month are discussed in greater detail after the jump.…


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Federal Securities Law Blog’s Monthly Litigation Review (November 15, 2011 Edition)

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Today, the Federal Securities Law Blog takes a look back at the last 30 days in the world of securities-related litigation in a regular feature which appears on approximately the 15th of each month. Recent issues which have appeared in the news include the SEC’s case against Citigroup Global Markets, Inc. and Judge Rakoff’s probing questions about the proposed settlement (which has not yet been approved), as well as several events regarding the SEC’s investigative techniques. These issues, and others, are discussed in greater detail after the jump.…


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Federal Securities Law Blog’s Monthly Litigation Review (October 15, 2011 Edition)

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Today, the Federal Securities Law Blog takes a look back at the last 30 days in the world of securities-related litigation in a regular feature which appears on approximately the 15th of each month. Recent issues which have appeared in the news include the SEC’s Inspector General’s examination of the SEC’s conduct, cases which have been brought that stem from the market crisis and the several significant criminal sentences in insider trading cases. These issues, and others, are discussed in greater detail after the jump.…


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Federal Securities Law Blog’s Monthly Litigation Review (September 15, 2011 Edition)

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Today, the Federal Securities Law Blog takes a look back at the last 30 days in the world of securities-related litigation in a regular feature which appears on approximately the 15th of each month. Recent issues which the SEC has faced this month include inquiries about its now-suspended document destruction policy, upcoming reports from the Inspector General, the appeal regarding the decision to vacate Proxy Rule 14a-11, the formation of an Investment Advisory Committee, various reform recommendations and Congressional challenges to its new Whistleblower Rules. These issues, and others, are discussed in greater detail after the jump.…


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