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Full-Text Articles in Law
Disruptive Technology And Securities Regulation, Chris Brummer
Disruptive Technology And Securities Regulation, Chris Brummer
Fordham Law Review
Nowhere has disruptive technology had a more profound impact than in financial services—and yet nowhere do academics and policymakers lack a coherent theory of the phenomenon more, much less a coherent set of regulatory prescriptions. Part of the challenge lies in the varied channels through which innovation upends market practices. Problems also lurk in the popular assumption that securities regulation operates against the backdrop of stable market gatekeepers like exchanges, broker-dealers, and clearing systems—a fact scenario increasingly out of sync in twenty-first-century capital markets.
This Article explains how technological innovation “disrupts” not only capital markets but also the exercise of …
Behind Enemy Phone Lines: Insider Trading, Parallel Enforcement, And Sharing The Fruits Of Wiretaps, Alexandra N. Mogul
Behind Enemy Phone Lines: Insider Trading, Parallel Enforcement, And Sharing The Fruits Of Wiretaps, Alexandra N. Mogul
Fordham Law Review
Two key trends were present in the successful prosecution of Raj Rajaratnam and his coconspirators in one of the largest insider-trading conspiracies in history: the use of wiretaps to investigate and prosecute insider trading and a joint effort between the Department of Justice (DOJ) and the Securities & Exchange Commission (SEC) to conduct the investigation. Despite the close working relationship between the DOJ and the SEC, the DOJ never disclosed the fruits of the wiretaps to the SEC, presumably due to its belief that Title III of the Omnibus Crime Control and Safe Streets Act of 1968 (as amended, the …
Securities Regulations In China And Their Corporate Finance Implications On State Enterprise Reform, K. Matthew Wong
Securities Regulations In China And Their Corporate Finance Implications On State Enterprise Reform, K. Matthew Wong
Fordham Law Review
No abstract provided.
State And Local Governmental Entities: In Search Of... Statutory Authority To Enter Into Interest Rate Swap Agreements, Jeanette Redmond
State And Local Governmental Entities: In Search Of... Statutory Authority To Enter Into Interest Rate Swap Agreements, Jeanette Redmond
Fordham Law Review
No abstract provided.
Checkosky, Rule 2(E) And The Auditor: How Should The Securities And Exchange Commission Define Its Standard Of Improper Professional Conduct?., Marie L. Coppolino
Checkosky, Rule 2(E) And The Auditor: How Should The Securities And Exchange Commission Define Its Standard Of Improper Professional Conduct?., Marie L. Coppolino
Fordham Law Review
No abstract provided.
Resolving Pre-Receivership Claims Against Failed Savings And Loans: An Unnecessarily Exhausting Experience, Dierdre M. Roarty
Resolving Pre-Receivership Claims Against Failed Savings And Loans: An Unnecessarily Exhausting Experience, Dierdre M. Roarty
Fordham Law Review
No abstract provided.
Bank Director Liability Under Firrea, Michael P. Battin
Bank Director Liability Under Firrea, Michael P. Battin
Fordham Law Review
No abstract provided.
Risk-Based Capital Adequacy Guidelines: A Sound Regulatory Policy Or A Symptom Of Regulatory Inadequacy?, Walter I. Conroy
Risk-Based Capital Adequacy Guidelines: A Sound Regulatory Policy Or A Symptom Of Regulatory Inadequacy?, Walter I. Conroy
Fordham Law Review
No abstract provided.
An Economic Analysis Of The Potential For Coercion In Consent Solicitations For Bonds, Royce De R. Barondes
An Economic Analysis Of The Potential For Coercion In Consent Solicitations For Bonds, Royce De R. Barondes
Fordham Law Review
No abstract provided.
The Modernization Of The French Securities Markets: Making The Eec Connection, Leslie A. Goldman
The Modernization Of The French Securities Markets: Making The Eec Connection, Leslie A. Goldman
Fordham Law Review
No abstract provided.
Japanese Securities Regulation: Problems Of Enforcement, Nicole J. Ramsay
Japanese Securities Regulation: Problems Of Enforcement, Nicole J. Ramsay
Fordham Law Review
No abstract provided.