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Full-Text Articles in Law
The Leidos Mixup And The Misunderstood Duty To Disclose In Securities Law, Matthew C. Turk, Karen E. Woody
The Leidos Mixup And The Misunderstood Duty To Disclose In Securities Law, Matthew C. Turk, Karen E. Woody
Washington and Lee Law Review
This Article concerns the recent Supreme Court case, Leidos,Inc. v. Indiana Public Retirement System (Leidos), and examines the broader issues that it raised for securities law. The consensus among scholars and practitioners is that Leidos presented a direct conflict among the circuit courts over a core question of securities law—when a failure to comply with the SEC’s disclosure requirements can constitute fraud under Rule 10b-5. This Article provides a much different interpretation of the case. It begins by demonstrating that the circuit split which is presumed to have brought Leidos to the Supreme Court does not in fact exist. …
Comment On Whistling Loud And Clear: Applying Chevron To Subsection 21f Of Dodd–Frank, Sarah C. Haan
Comment On Whistling Loud And Clear: Applying Chevron To Subsection 21f Of Dodd–Frank, Sarah C. Haan
Washington and Lee Law Review
No abstract provided.
Canons Of Construction For Dysfunctional Statutes: A Comment On Bennett, Paul G. Mahoney
Canons Of Construction For Dysfunctional Statutes: A Comment On Bennett, Paul G. Mahoney
Washington and Lee Law Review
No abstract provided.
Whistling Loud And Clear: Applying Chevron To Subsection 21f Of Dodd–Frank, Shaun M. Bennett
Whistling Loud And Clear: Applying Chevron To Subsection 21f Of Dodd–Frank, Shaun M. Bennett
Washington and Lee Law Review
This Note addresses a circuit court split arising from a portion of the anti-retaliation provisions in the Dodd–Frank Wall Street Reform and Consumer Protection Act. Subsection 21F’s retaliation prohibitions apply to those employers whose employees make required or protected disclosures under the Sarbanes–Oxley Act of 2002 (SOX) or any other rule or regulation under the SEC’s jurisdiction. SOX provides anti -retaliation protections — similar to those available under Dodd–Frank — for employees of publicly traded companies who report misconduct. However, SOX expressly affords protections to those who provide information to “a Federal regulatory or law enforcement agency; any Member of …
Adding A Due Diligence Defense To § 13(B) And Rule 13b 2 – 2 Of The Securities Exchange Act Of 1934, Michael Evans
Adding A Due Diligence Defense To § 13(B) And Rule 13b 2 – 2 Of The Securities Exchange Act Of 1934, Michael Evans
Washington and Lee Law Review
No abstract provided.
A Paradigm From Securities Law Of Uninformed Supreme Court Decisionmaking, Larry D. Soderquist
A Paradigm From Securities Law Of Uninformed Supreme Court Decisionmaking, Larry D. Soderquist
Washington and Lee Law Review
No abstract provided.
Freedom Of Contract And The Securities Laws: Opting Out Of Securities Regulation By Private Agreement, Elaine A. Welle
Freedom Of Contract And The Securities Laws: Opting Out Of Securities Regulation By Private Agreement, Elaine A. Welle
Washington and Lee Law Review
No abstract provided.
Modern Partnership Interests As Securities: The Effect Of Rupa, Rulpa, And Llp Statutes On Investment Contract Analysis, James B. Porter
Modern Partnership Interests As Securities: The Effect Of Rupa, Rulpa, And Llp Statutes On Investment Contract Analysis, James B. Porter
Washington and Lee Law Review
No abstract provided.
Re-Engineering Corporate Disclosure:The Coming Debate Overcompany Registration, John C. Coffee, Jr.
Re-Engineering Corporate Disclosure:The Coming Debate Overcompany Registration, John C. Coffee, Jr.
Washington and Lee Law Review
Delivered as the 56th Annual John Randall Tucker Lecture on October 1, 2004
Resales Of Securities Under The Securities Act Of 1933, Rutheford B. Campbell, Jr.
Resales Of Securities Under The Securities Act Of 1933, Rutheford B. Campbell, Jr.
Washington and Lee Law Review
No abstract provided.
Broker-Dealer Sales Practice In Derivatives Transactions: A Survey And Evaluation Of Suitability Requirements, Daniel G. Schmedlen, Jr.
Broker-Dealer Sales Practice In Derivatives Transactions: A Survey And Evaluation Of Suitability Requirements, Daniel G. Schmedlen, Jr.
Washington and Lee Law Review
No abstract provided.
Form And Substance In The Definition Of A "Security": The Case Of Limited Liability Companies, Larry E. Ribstein
Form And Substance In The Definition Of A "Security": The Case Of Limited Liability Companies, Larry E. Ribstein
Washington and Lee Law Review
No abstract provided.
Efficient Market Theory: Let The Punishment Fit The Crime* , Louis Lowenstein
Efficient Market Theory: Let The Punishment Fit The Crime* , Louis Lowenstein
Washington and Lee Law Review
No abstract provided.
Time For A Change: A Re-Examination Of The Settlement Policies Of The Securities And Exchange Commission , Anne C. Flannery
Time For A Change: A Re-Examination Of The Settlement Policies Of The Securities And Exchange Commission , Anne C. Flannery
Washington and Lee Law Review
No abstract provided.
Disclosure Of Environmental Liabilities Under The Securities Laws: The Potential Of Securities-Market-Based Incentives For Pollution Control , Perry E. Wallace
Disclosure Of Environmental Liabilities Under The Securities Laws: The Potential Of Securities-Market-Based Incentives For Pollution Control , Perry E. Wallace
Washington and Lee Law Review
No abstract provided.
The Supreme Court's Literalism And The Definition Of "Security" In The State Courts, Douglas M. Branson, Karl Shumpei Okamoto
The Supreme Court's Literalism And The Definition Of "Security" In The State Courts, Douglas M. Branson, Karl Shumpei Okamoto
Washington and Lee Law Review
No abstract provided.
Bridging The Gap: Some Thoughts About Interstitial Lawmaking And The Federal Securities Laws, Kevin R. Johnson
Bridging The Gap: Some Thoughts About Interstitial Lawmaking And The Federal Securities Laws, Kevin R. Johnson
Washington and Lee Law Review
No abstract provided.
The Reincarnation Of Rule 152: False Hope On The Integration Front, Lyman P. Q. Johnson, Steve Patterson
The Reincarnation Of Rule 152: False Hope On The Integration Front, Lyman P. Q. Johnson, Steve Patterson
Washington and Lee Law Review
No abstract provided.
A Peek Under The Shell: Investment Bank's Equity Position In Tender Offeror Should Trigger Disclosure Requirements Of The Williams Act
Washington and Lee Law Review
No abstract provided.
Securities Industry Self-Regulation-Tested By The Crash, Roberta S. Karmel
Securities Industry Self-Regulation-Tested By The Crash, Roberta S. Karmel
Washington and Lee Law Review
No abstract provided.
The Assignment Of Private Causes Of Action Under The Federal Securities Laws: Express Versus Automatic Assignment
Washington and Lee Law Review
No abstract provided.
Cpas Who Perform Management Consulting Services May Face Increased Exposure To Controlling Person Liability Under The Federal Securities Acts
Washington and Lee Law Review
No abstract provided.
Employee Equity Incentive Plans For Small Companies: A Proposal For A Specific Registration Exemption From The 1933 Act
Washington and Lee Law Review
No abstract provided.
Defining An "Investment Contract": The Commonality Requirement Of The Howey Test
Defining An "Investment Contract": The Commonality Requirement Of The Howey Test
Washington and Lee Law Review
No abstract provided.
Hedging The Value Of Collective Assets: Financial Institutions Excluded From Regulation As Commodity Pool Operators Under The Commodity Exchange Act, Carl B. Wilkerson
Hedging The Value Of Collective Assets: Financial Institutions Excluded From Regulation As Commodity Pool Operators Under The Commodity Exchange Act, Carl B. Wilkerson
Washington and Lee Law Review
No abstract provided.
Liability Of Financial Institutions For Aiding And Abetting Violations Of Securities Laws, Sally Totten Gilmore, William H. Mcbride
Liability Of Financial Institutions For Aiding And Abetting Violations Of Securities Laws, Sally Totten Gilmore, William H. Mcbride
Washington and Lee Law Review
No abstract provided.
Self-Regulation Of The Securities Markets: A Critical Examination, Sam Scott Miller
Self-Regulation Of The Securities Markets: A Critical Examination, Sam Scott Miller
Washington and Lee Law Review
No abstract provided.
Kicking The Bucket Shop: The Model State Commodity Code As The Latest Weapon In The State Administrator's Anti-Fraud Arsenal, Julie M. Allen
Kicking The Bucket Shop: The Model State Commodity Code As The Latest Weapon In The State Administrator's Anti-Fraud Arsenal, Julie M. Allen
Washington and Lee Law Review
No abstract provided.
Predispute Agreements To Arbitrate Claims Arising Under The Commodity Exchange Act
Predispute Agreements To Arbitrate Claims Arising Under The Commodity Exchange Act
Washington and Lee Law Review
No abstract provided.
Redeeming Securities Through Equity Funding: The Security Holder's Dilemma
Redeeming Securities Through Equity Funding: The Security Holder's Dilemma
Washington and Lee Law Review
No abstract provided.