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Full-Text Articles in Law
Regulation Of New Financial Instruments Under The Federal Securities And Commodities Laws, David J. Gilberg
Regulation Of New Financial Instruments Under The Federal Securities And Commodities Laws, David J. Gilberg
Vanderbilt Law Review
In the last few years, "an endless stream of exotic financial instruments conjured by Wall Street wizards" literally has taken the financial community by storm, fundamentally altering market trading practices and pitting institutions against each other in an intense competition for development of still more innovative instruments. These products--which include various types of"swaps," options, forward contracts, and price guarantees--now are being offered to and traded by every major financial institution and multinational corporation in the world, as well as by governments and individuals, and nothing indicates that the unprecedented growth of the markets for such instruments is likely to sub-side …
Postregistration Provisions Of The Federal Securities Code, Alfred J. Law
Postregistration Provisions Of The Federal Securities Code, Alfred J. Law
Vanderbilt Law Review
The discussion of Part VI of the Federal Securities Code, dealing with postregistration provisions, falls naturally into three general areas: reporting requirements for registered companies, tender requests, and solicitation of proxies. This article will examine each category separately.
The Securities And Exchange Commission And The Code, Ray Garrett, Jr., William B. Weaver
The Securities And Exchange Commission And The Code, Ray Garrett, Jr., William B. Weaver
Vanderbilt Law Review
Under the Federal Securities Code, the Commission's discretionary power will be restricted by the Code itself, by formal and informal congressional oversight, and by the Commission's traditionally judicious use of its powers. With these restraints, Congress should not be reluctant to grant to the Commission the new powers proposed in the Code. This article has concentrated on the balance between those new powers and the constraints on the Commission. It should be emphasized, as it certainly is elsewhere in this symposium, that the Code's changes of the Commission's responsibilities will enhance the Commission's ability to administer the securities laws fairly …