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Capital Markets
Capital Markets Law360 provides breaking news and analysis on the capital markets sector. Coverage includes stock and bond offerings, mortgage-backed securities, foreign exchange, follow-on offerings, and debt deals, as well as related litigation and policy developments.
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Latest News in Capital Markets
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November 20, 2024
SEC Cooperators More Likely To See Pay Reprieve In 2024
The U.S. Securities and Exchange Commission's recent emphasis on cooperation seems to have paid off for both the agency and some of the entities it regulates, according to a report released Thursday, which found that more public companies entered into nonmonetary settlements with the SEC in fiscal year 2024 than in any year over the previous decade.
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November 20, 2024
5 Charged For 'Scattered Spider' Phishing Hacks, Crypto Theft
California federal prosecutors unveiled a criminal case Wednesday accusing five alleged members of the "Scattered Spider" cybercrime group of using a phishing scheme to access the confidential data of media and technology companies and steal $11 million worth of cryptocurrency from digital wallets.
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November 20, 2024
Ex-Wells Fargo Adviser Admits To Stealing $3M From Clients
A former Wells Fargo broker and investment adviser admitted on Wednesday to stealing more than $3 million from his clients and customers and using the money for, among other things, buying gold coins, New Jersey federal prosecutors said.
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November 20, 2024
$2.6M Deal Proposed To End Chancery Lottery.com Suit
Five executives of the special purpose acquisition company that took Lottery.com public have reached a $2.6 million settlement with company shareholders to resolve claims that the 2021 take-public deal misled investors about the potential value of the business.
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November 20, 2024
$3B TD Bank AML Settlement Is A Wake-Up Call For All Banks
TD Bank’s historic settlement over anti-money laundering violations, resulting in over $3 billion in penalties, reminds banks of all shapes and sizes why they need to take financial crime compliance seriously, and highlights three areas that may be especially vulnerable to enforcement, says Jack Harrington at Bradley Arant.
Areas of Coverage
- TRANSACTIONS
- High-yield debt, corporate bond, convertible debt, and hybrid offerings
- Share buybacks and stock splits
- Stock- or debt-funded acquisitions
- Distressed investments and bankruptcy proceedings
- Joint ventures
- Capital instruments, including mezzanine and venture
- Leveraged buyouts
- Real estate investment trust deals
- AGENCIES
- Financial Industry Regulatory Authority
- U.S. Commodity Futures Trading Commission
- U.S. Department of the Treasury
- Public Company Accounting Oversight Board
- U.S. Securities and Exchange Commission
- European Securities and Markets Authority
- European Central Bank
- European Commission
- UK Financial Conduct Authority
- POLICY & REGULATION
- Dodd-Frank Act
- Delaware corporate law
- Financial company lobbying
- International banking legislation and regulation
- LITIGATION
- Corporate governance cases, including those over leadership changes, executive compensation, and shareholder rights
- Competition disputes
- Privacy issues
- PROFILES
- Personnel moves
- Profiles of capital markets practices
Readership
- Capital markets lawyers at top law firms
- Corporate counsel and compliance officers at Fortune 1000 companies
- Executives and attorneys in the capital markets industry
- Information experts at law firms, agencies, and companies
- Policymakers at federal and state agencies
- Judges and court staff across the U.S.
- Professors, students, and library staff at every accredited law school in the U.S.
- Attorney and law firm marketing professionals