After Kaye Scholer: the risks of regulatory and corporate lawyers

Article Abstract:

Securities lawyers are at greater risk after the administrative action of the Office of Thrift Supervision against the firm Kaye, Scholer, Fierman, Hays & Handler for its association with the collapse of the Lincoln Savings and Loan Association. Unresolved questions from the case include whether state standards should apply and whether the firm acted before or during litigation. Documents from Kaye, Scholer's response, a settlement with James S. Fleischer and FDIC vs O'Melveny & Myers are included.

Attorneys, Lawyers, Malpractice, Legal malpractice

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Challenges to underwriters and their counsel in the modern capital markets environment

Article Abstract:

The Task Force on Sellers' Due Diligence and Similar Defenses under the Federal Securities Laws has issued a report which includes analysis of changes in the capital markets which involve underwriters. There are other due diligence problems besides what the report considered, such as soft information in earnings projections, management's discussion and inconsistencies in the 1933 Securities Act.

Laws, regulations and rules, Capital market, Capital markets

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Securities distribution - the changing role of the securities analyst in initial public offerings

Article Abstract:

Selective disclosure during an initial public offering does not taint a securities analyst given access. To avoid future coverage problems, analysts should have their role is each issuing clearly defined. In many cases, providing analysts access to selective information is not only desirable but essential for the completion of the offering.

United States, Management, Investment advisers, Disclosure (Securities law), Going public (Securities), Initial public offerings

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