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Articles 1 - 16 of 16
Full-Text Articles in Law
Out Of The Shadows: Requiring Strategic Management Disclosure, Nadelle Grossman
Out Of The Shadows: Requiring Strategic Management Disclosure, Nadelle Grossman
West Virginia Law Review
Under federal securities laws and regulations, public companies must disclose to investors a considerable amount of information about their risk management processes to limit losses. In contrast, these companies need not disclose virtually anything about their strategic management processes to gen- erate gains. This mismatch in disclosure gives investors a distorted sense of firm processes to create value, undermining the federal securities laws' central purpose of creating informed investors. It also signals that risk management processes, which are cast in disclosure sunlight, are more important to firm success than strategic management processes, which remain in the shadows. To address these …
Securities Violations In 140 Characters Or Less: Social Media And Its Growing Impact On The Securities Industry, Kevin Etzel
Securities Violations In 140 Characters Or Less: Social Media And Its Growing Impact On The Securities Industry, Kevin Etzel
Touro Law Review
As social media continues its rapid ascent, the law must be able to keep pace. The securities industry is where one area that must keep pace. This Comment demonstrates the drastic effects, both positive and negative, that social media has on securities regulation.
Legal Summaries, Susan Christopher
Legal Summaries, Susan Christopher
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
There's A New Sheriff In Town - Will The New Sec Chairman Allow Issuers Of American Depository Receipts To Use International Accounting Standards To Satisfy Listing Requirements On U.S. Exchanges?, Joseph J.M. Orabona
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
Business Roundtable V. Securities And Exchange Commission: The Sec's First Big Shot At Proxy Access In The Shadow Of Dodd-Frank, Raymond E. Areshenko
Business Roundtable V. Securities And Exchange Commission: The Sec's First Big Shot At Proxy Access In The Shadow Of Dodd-Frank, Raymond E. Areshenko
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
When The Government Attempts To Change The Board, Investors Should Know, William O. Fisher
When The Government Attempts To Change The Board, Investors Should Know, William O. Fisher
Pepperdine Law Review
In 2008 and 2009, the federal government effectively hired and fired directors at American International Group and Bank of America, without any securities filing of the sort that would have been required had a private market actor attempted to change the boards at those companies. The fact that current law allows the government to secretly reconstitute the governing bodies of multibillion-dollar, publicly traded companies is cause for concern, for who controls the board controls the company. This Article argues that, just as securities filings alert investors when private parties attempt board change, a new required filing should inform investors when …
Legal Summaries, Jamie H. Kim
Legal Summaries, Jamie H. Kim
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
The Long Road Back: Business Roundtable And The Future Of Sec Rulemaking, Jill E. Fisch
The Long Road Back: Business Roundtable And The Future Of Sec Rulemaking, Jill E. Fisch
Seattle University Law Review
The Securities and Exchange Commission (SEC or Commission) has faced a number of challenges in the last few years. Judge Rakoff’s decision in Citigroup, the Madoff scandal, and the Business Roundtable decision are just a few of the developments that have dealt lasting damage to the SEC’s reputation. Critics have scrutinized the agency’s decisionmaking on multiple fronts—from its enforcement policy to the quality of its rulemaking—and the SEC has largely come up short in the analysis. The once-revered top cop of the securities markets has taken a hit, and it is unclear whether it can recover. The Business Roundtable decision …
Rule 10b-5(B) Enforcement Actions In Light Of Janus: Making The Case For Agency Deference, Matthew P. Wynne
Rule 10b-5(B) Enforcement Actions In Light Of Janus: Making The Case For Agency Deference, Matthew P. Wynne
Fordham Law Review
This Note addresses whether the Supreme Court’s recent decision in Janus Capital Group, Inc. v. First Derivative Traders applies to the Securities and Exchange Commission (SEC), and, if not, whether the SEC’s own interpretation of Rule 10b-5 should be entitled to deference in future SEC enforcement actions. Since its promulgation in 1942, Rule 10b-5 has been the subject of much debate, particularly regarding the scope of the private right of action that courts have interpreted the rule to imply. Having acknowledged that an implied right exists, the Supreme Court quickly began to limit Rule 10b-5 claims of private plaintiffs, citing …
Alternatives For Small Business Raising Capital Under The Securities Act Of 1933, David H. Barber
Alternatives For Small Business Raising Capital Under The Securities Act Of 1933, David H. Barber
Pepperdine Law Review
The problems encountered by the business community in raising capital for new or small businesses has spurned implementation of responsive policy and regulations by the Securities and Exchange Commission. As a result of input from a series of nationwide small business hearings, the S.E.C. has recently demonstrated its commitment to aiding capital raising needs. This was accomplished by creating an Office of Small Business Policy to respond to the effects of major new changes to the Securities Act of 1933 which seek to facilitate the process of capitalization of small business. Professor David H. Barber, of Brigham Young University's J. …
Business Lawyering In The Crowdfunding Era, John Macleod Heminway
Business Lawyering In The Crowdfunding Era, John Macleod Heminway
American University Business Law Review
No abstract provided.
"Ice" Capades: Restitution Orders And The Fcpa, Shane Frick
"Ice" Capades: Restitution Orders And The Fcpa, Shane Frick
Richmond Journal of Global Law & Business
No abstract provided.
Dodd-Frank And International Regulatory Convergence: The Case For Mutual Recognition, Nicholas W. Turner '12
Dodd-Frank And International Regulatory Convergence: The Case For Mutual Recognition, Nicholas W. Turner '12
NYLS Law Review
No abstract provided.
An Examination Of Foreign Corrupt Practices Act Issues, Mike Koehler
An Examination Of Foreign Corrupt Practices Act Issues, Mike Koehler
Richmond Journal of Global Law & Business
This article provides an overview of 2012 Foreign Corrupt Practice Act enforcement and examines the top FCPA issues from the year. The goal of the article is to place FCPA enforcement in better context and provide readers a more informed base in analyzing enforcement trends, assess- ing enforcement agency rhetoric and policy positions, and in sifting through the mounds of information disseminated by FCPA Inc.
Resurrecting Court Deference To The Securities And Exchange Commission: Definition Of “Security”, Steven J. Cleveland
Resurrecting Court Deference To The Securities And Exchange Commission: Definition Of “Security”, Steven J. Cleveland
Catholic University Law Review
No abstract provided.
Foreign Official Define Thyself: How To Define Foreign Officials And Instrumentalities In The Face Of Aggressive Enforcement Of The Foreign Corrupt Practices Act, Alexander L. Harisiadis
Foreign Official Define Thyself: How To Define Foreign Officials And Instrumentalities In The Face Of Aggressive Enforcement Of The Foreign Corrupt Practices Act, Alexander L. Harisiadis
Catholic University Law Review
No abstract provided.