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Articles 1 - 29 of 29
Full-Text Articles in Law
Does Cryptocurrency Staking Fall Under Sec Jurisdiction?, Nicholas E. Gonzalez
Does Cryptocurrency Staking Fall Under Sec Jurisdiction?, Nicholas E. Gonzalez
Fordham Journal of Corporate & Financial Law
Bitcoin, the first blockchain and cryptocurrency (crypto), launched in 2009 when the Bitcoin network opened to the public. A blockchain is a digital ledger technology where transactions are aggregated and permanently recorded into blocks of information. Maintenance of a blockchain is typically conducted by decentralized managers who own and operate network computers (“Nodes”) and serve the functions normally handled by central intermediaries to validate and confirm transactions. All Nodes follow a blockchain protocol. In Bitcoin’s and most cryptos’ cases, this protocol is known as a Proof- of-Work protocol which requires a large amount of energy consumption. Consequently, Proof-of-Stake protocols (“PoS”) …
The Cryptic Nature Of Crypto Digital Assets Regulations: The Ripple Lawsuit And Why The Industry Needs Regulatory Clarity, Jacqueline Hennelly
The Cryptic Nature Of Crypto Digital Assets Regulations: The Ripple Lawsuit And Why The Industry Needs Regulatory Clarity, Jacqueline Hennelly
Fordham Journal of Corporate & Financial Law
The tension and associated time lag between technology and regulation has been well documented. Paradigmatic of this phenomenon is the global evolution of blockchain technology and digital assets. Digital assets in the blockchain allow users to transact directly without financial intermediaries. However, the regulatory guidelines for the assets, their issuance, and the subsequent transactions are unclear. The Securities and Exchange Commission (SEC) has filed an action to apply its existing regulations and the judicial interpretations to Ripple’s issuance of XRP, its token, and Ripple’s control over subsequent user transactions of XRP. This Note uses SEC v. Ripple as a case …
The Twenty-First Annual A.A. Sommer, Jr. Lecture On Corporate, Securities & Financial Law At The Fordham Corporate Law Center, Matthew Diller, G. Jeffrey Boujoukos, Ben A. Indek, Allison Herren Lee
The Twenty-First Annual A.A. Sommer, Jr. Lecture On Corporate, Securities & Financial Law At The Fordham Corporate Law Center, Matthew Diller, G. Jeffrey Boujoukos, Ben A. Indek, Allison Herren Lee
Fordham Journal of Corporate & Financial Law
No abstract provided.
Here To Stay: Wrestling With The Future Of The Quickly Maturing Spac Market, Matthew Diller, Rick Fleming, Stephen Fraidin, Aj Harris, Gregory F. Laufer, Mark Lebovitch, Gregg A. Noel, Hester M. Peirce, Usha R. Rodrigues, Mike Stegemoller, Verity Winship, Douglas Ellenoff
Here To Stay: Wrestling With The Future Of The Quickly Maturing Spac Market, Matthew Diller, Rick Fleming, Stephen Fraidin, Aj Harris, Gregory F. Laufer, Mark Lebovitch, Gregg A. Noel, Hester M. Peirce, Usha R. Rodrigues, Mike Stegemoller, Verity Winship, Douglas Ellenoff
Fordham Journal of Corporate & Financial Law
No abstract provided.
Halliburton Ii At Four: Has It Changed The Outcome Of Class Certification Decisions?, Noah Weingarten
Halliburton Ii At Four: Has It Changed The Outcome Of Class Certification Decisions?, Noah Weingarten
Fordham Journal of Corporate & Financial Law
The U.S. Supreme Court's decision in Halliburton Co. v. Erica P. John Fund, Inc., 573 U.S. 258 (2014) (Halliburton II) appeared to give corporate defendants a new tool to defeat class certification in the context of securities fraud class action litigation: rebutting the requisite presumption of reliance by showing a lack of "price impact"-a term that Halliburton II used to describe whether the price of an allegedly affected company's stock went up or down. However, based on an empirical study of pre- versus post-Halliburton II class certification decisions, it appears that the outcomes of class certification decisions have become even …
Global Investor Protection: Securities Law Enforcement Around The World, Matthew Diller, Martin Gelter, Eugenio J. Cardenas, Merritt B. Fox, Geoffrey Jarvis, Pierre-Henri Conac, Todd Cosenza, Jill Fisch, Yuliya Guseva, Elad Roisman, Sean Griffith
Global Investor Protection: Securities Law Enforcement Around The World, Matthew Diller, Martin Gelter, Eugenio J. Cardenas, Merritt B. Fox, Geoffrey Jarvis, Pierre-Henri Conac, Todd Cosenza, Jill Fisch, Yuliya Guseva, Elad Roisman, Sean Griffith
Fordham Journal of Corporate & Financial Law
No abstract provided.
From Value Protection To Value Creation: Rethinking Corporate Governance Standards For Firm Innovation, Roger M. Barker, Iris H-Y Chiu
From Value Protection To Value Creation: Rethinking Corporate Governance Standards For Firm Innovation, Roger M. Barker, Iris H-Y Chiu
Fordham Journal of Corporate & Financial Law
A company’s pro-innovation needs are often met by the exploitation of its resources, widely defined. The resource-based theory of the firm provides immense empirical insights into how a firm’s corporate governance factors can contribute to promoting innovation. However, these implications may conflict with the prevailing standards of corporate governance imposed on many securities markets for listed companies, which have developed based on theoretical models supporting a shareholder-centered and agency-based theory of the firm. Although prevailing corporate governance standards can to an extent support firm innovation, tensions are created in some circumstances where companies pit their corporate governance compliance against resource-based …
An Overview Of The Sec's Whistleblower Award Program, Michael H. Hurwitz, Jonathan Kovacs
An Overview Of The Sec's Whistleblower Award Program, Michael H. Hurwitz, Jonathan Kovacs
Fordham Journal of Corporate & Financial Law
In 2010, Congress enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act in response to the stock market collapse and economic downturn as well as the Bernard Madoff scandal and other well-publicized frauds perpetrated against investors. Among its numerous provisions, the Dodd-Frank Act amended the Securities Exchange Act of 1934 to add a new section—Section 21F—entitled “Securities Whistleblower Incentives and Protection.” The Dodd- Frank Act also directed the Securities and Exchange Commission to establish an Office of the Whistleblower to administer the provisions of the new section. The Commission subsequently adopted regulations that went into effect on August 12, …
The End Of The Internal Compliance World As We Know It, Or An Enhancement Of The Effectiveness Of Securities Law Enforcement? Bounty Hunting Under The Dodd-Frank Act's Whistleblower Provision, Justin Blount, Spencer Markel
The End Of The Internal Compliance World As We Know It, Or An Enhancement Of The Effectiveness Of Securities Law Enforcement? Bounty Hunting Under The Dodd-Frank Act's Whistleblower Provision, Justin Blount, Spencer Markel
Fordham Journal of Corporate & Financial Law
In the wake of Bernard Madoff’s $65 billion Ponzi scheme and the recent economic crisis stemming largely from loosely regulated subprime lending and mortgage-backed securities, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act on July 21, 2010, signaling loudly and clearly that change is coming to Wall Street. But Wall Street is not the only one receiving a message. Buried deep within the 2,319 pages of the Dodd-Frank Act, companies can find Section 922, the whistleblower provision, which provides a bounty for whistleblowers who report securities violations to the Securities and Exchange Commission.These bounty provisions and …
Burning Down The House Or Simply Rolling The Dice: A Comment On Section 621 Of The Dodd-Frank Act And Recommendation For Its Implementation, Joshua R. Rosenthal
Burning Down The House Or Simply Rolling The Dice: A Comment On Section 621 Of The Dodd-Frank Act And Recommendation For Its Implementation, Joshua R. Rosenthal
Fordham Journal of Corporate & Financial Law
Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act modifies the Securities Act of 1933 to prohibit the underwriter, placement agent, initial purchaser, or sponsor, or any affiliate or subsidiary of any such entity of an asset-backed financial product from betting against that very product for one year after the product’s initial sale. The rule prohibits anyone who structures or sells an asset-backed security or a product composed of asset-backed securities from going short, in the specified timeframe, on what they have sold, and labels such transactions as presenting material conflicts of interest. This Comment discusses traces …
The Tenth Annual Albert A. Destefano Lecture On Corporate, Securities & Financial Law. Corporate Accountability: Governance And Compensation Issues, Stanley Sporkin, Todd Lang, Gary Naftalis, Jeffrey Sonnenfeld, Louise Story
The Tenth Annual Albert A. Destefano Lecture On Corporate, Securities & Financial Law. Corporate Accountability: Governance And Compensation Issues, Stanley Sporkin, Todd Lang, Gary Naftalis, Jeffrey Sonnenfeld, Louise Story
Fordham Journal of Corporate & Financial Law
CORPORATE ACCOUNTABILITY: GOVERNANCE AND COMPENSATION ISSUES
Bankruptcy’S Protection For Non-Debtors From Securities Fraud Litigation, John M. M. Wunderlich
Bankruptcy’S Protection For Non-Debtors From Securities Fraud Litigation, John M. M. Wunderlich
Fordham Journal of Corporate & Financial Law
Given the recent economic climate, the judiciary faces an all too familiar challenge: navigate through the web that is bankruptcy and securities fraud. So far, bankruptcy has evolved into a tool to resolve mass tort litigation, like securities fraud. However, this Article explores bankruptcy as a tool to resolve securities litigation against non-debtors, those that never file for bankruptcy protection. The protection the Bankruptcy Code provides to non-debtors, like officers and directors, goes largely unnoticed, much to the detriment of securities fraud victims. Mindful that we now are in the midst of another financial crisis and that attention will slowly …
323 Non-Managing Underwriters’ Role In Securities Offerings: Just Eye Candy?, Elena Marty-Nelson
323 Non-Managing Underwriters’ Role In Securities Offerings: Just Eye Candy?, Elena Marty-Nelson
Fordham Journal of Corporate & Financial Law
While there is considerable scholarship on the due diligence defense of lead underwriters in defective corporate securities offerings, there is surprisingly little analysis of the due diligence defense of non-managing underwriters. This article challenges the common perception that lead and non-managing underwriters necessarily “sink or swim” together for purposes of due diligence. An analysis of the statutory structure of Section 11 of the Securities Act of 1933 reveals that non-managing underwriters are not inextricably tethered to the lead. Rather, non-managing underwriters who actively question the lead’s due diligence investigation should be able to meet their own affirmative defense even when …
The Tenth Annual A. A. Sommer, Jr. Lecture On Corporate, Securities, & Financial Law, Elisse B. Walter
The Tenth Annual A. A. Sommer, Jr. Lecture On Corporate, Securities, & Financial Law, Elisse B. Walter
Fordham Journal of Corporate & Financial Law
No abstract provided.
Panel Discussion: Subprime Mortgage Meltdown And The Global Financial Crisis, William Michael Treanor, Constantine N. Katsoris, Jill E. Fisch, Stuart Kaswell, Steven M. Cohen, Harvey Miller, Gretchen Morgenson, Richard Neiman, Giovanni Prezioso, Muriel Siebert
Panel Discussion: Subprime Mortgage Meltdown And The Global Financial Crisis, William Michael Treanor, Constantine N. Katsoris, Jill E. Fisch, Stuart Kaswell, Steven M. Cohen, Harvey Miller, Gretchen Morgenson, Richard Neiman, Giovanni Prezioso, Muriel Siebert
Fordham Journal of Corporate & Financial Law
No abstract provided.
Securities Arbitrators Do Not Grow On Trees, Constantine N. Katsoris
Securities Arbitrators Do Not Grow On Trees, Constantine N. Katsoris
Fordham Journal of Corporate & Financial Law
No abstract provided.
Approaching Comparative Company Law , David C. Donald
Approaching Comparative Company Law , David C. Donald
Fordham Journal of Corporate & Financial Law
No abstract provided.
Fin Rah!...A Welcome Change: Why The Merger Was Necessary To Preserve U.S. Market Integrity, Yesenia Cervantes
Fin Rah!...A Welcome Change: Why The Merger Was Necessary To Preserve U.S. Market Integrity, Yesenia Cervantes
Fordham Journal of Corporate & Financial Law
No abstract provided.
A "Tic"Ing Time Bomb: Rule 506 Meets Section 1031, Elizabeth A. Whitman
A "Tic"Ing Time Bomb: Rule 506 Meets Section 1031, Elizabeth A. Whitman
Fordham Journal of Corporate & Financial Law
No abstract provided.
The Fifth Annual A. A. Sommer, Jr. Lecture On Corporate, Securities & Financial Law, William Michael Treanor, John F.X Peloso, Jill E. Fisch, Richard G. Ketchum
The Fifth Annual A. A. Sommer, Jr. Lecture On Corporate, Securities & Financial Law, William Michael Treanor, John F.X Peloso, Jill E. Fisch, Richard G. Ketchum
Fordham Journal of Corporate & Financial Law
No abstract provided.
Are Chinese Walls The Best Solution To The Problems Of Insider Trading And Conflicts Of Interest In Broker-Dealers?, Christopher M. Gorman
Are Chinese Walls The Best Solution To The Problems Of Insider Trading And Conflicts Of Interest In Broker-Dealers?, Christopher M. Gorman
Fordham Journal of Corporate & Financial Law
No abstract provided.
A Tangled Web: Compliance Director Liability Under The Securities Laws, Anthony Pirraglia
A Tangled Web: Compliance Director Liability Under The Securities Laws, Anthony Pirraglia
Fordham Journal of Corporate & Financial Law
No abstract provided.
Multinational Enforcement Of U.S. Securities Laws: The Need For The Clear And Restrained Scope Of Extraterritorial Subject-Matter Jurisdiction., Kun Young Chang
Multinational Enforcement Of U.S. Securities Laws: The Need For The Clear And Restrained Scope Of Extraterritorial Subject-Matter Jurisdiction., Kun Young Chang
Fordham Journal of Corporate & Financial Law
No abstract provided.
The Sec's "Fair Value" Standard For Mutual Fund Investment In Restricted Shares And Other Illiquid Securities , Janet Kiholm Smith Dr.
The Sec's "Fair Value" Standard For Mutual Fund Investment In Restricted Shares And Other Illiquid Securities , Janet Kiholm Smith Dr.
Fordham Journal of Corporate & Financial Law
No abstract provided.
The Resolution Of Securities Disputes, Constantine N. Katsoris
The Resolution Of Securities Disputes, Constantine N. Katsoris
Fordham Journal of Corporate & Financial Law
No abstract provided.
Leach Keynote Address, James A. Leach
Leach Keynote Address, James A. Leach
Fordham Journal of Corporate & Financial Law
No abstract provided.
The A.A. Sommer Annual Lecture On Corporate Securities & Financial Law, Foreward, John F.X. Peloso
The A.A. Sommer Annual Lecture On Corporate Securities & Financial Law, Foreward, John F.X. Peloso
Fordham Journal of Corporate & Financial Law
No abstract provided.
Pillars Of Civilization: Attorneys And Arbitration, Robert S. Clemente, Karen Kupersmith
Pillars Of Civilization: Attorneys And Arbitration, Robert S. Clemente, Karen Kupersmith
Fordham Journal of Corporate & Financial Law
No abstract provided.
Securities Arbitrations Involving Mortgage-Backed Securities And Collateralized Mortgage Obligations: Suitable For Unsuitability Claims?, Bradley J. Bondi
Securities Arbitrations Involving Mortgage-Backed Securities And Collateralized Mortgage Obligations: Suitable For Unsuitability Claims?, Bradley J. Bondi
Fordham Journal of Corporate & Financial Law
No abstract provided.