US Law Essentials
Forum: Securities Regulation
Questions and comments regarding disclosure requirements, private securities fraud litigation, and government enforcement actions.
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High Frequency Trading Complaint
Alleging, among other things, that high frequency traders and securities exchanges (including the New York Stock Exchange) manipulated the market for securities, a law firm has filed a putative class action complaint in a New York federal court. This is not the only recent lawsuit in connectio... |
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Video on the Private Securities Litigation Reform Act
On my YouTube page I have a short video on the pleading requirements of the PSLRA. The video is part of a playlist on pleading requirements in the United States. |
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Michael Lewis, new book on high speed trading
If you have not read Michael Lewis I strongly recommend his books. He provides fascinating insights into the world of trading. You will like Liar's Poker and also The Big Short. He wrote Moneyball, too, which was made into a movie with Brad Pitt but Moneyball is about baseball. Lewis has a new book on... |
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Types of SEC forms
In response to a question I received (which stumped me) "what is an 11-K?" here is a link to the various types of SEC forms. |
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