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Articles 1 - 15 of 15
Full-Text Articles in Law
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.
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.
Legal Summaries, Jeremy Black
Legal Summaries, Jeremy Black
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 …
Materiality In Sarbanes-Oxley Act Employee Protection Claims, William Dorsey
Materiality In Sarbanes-Oxley Act Employee Protection Claims, William Dorsey
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
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. …
Boiler Room Fraud: An Operational Plan Utilizing The Injunction Against Fraud Pursuant To 18 U.S.C. §1345 , Robert M. Twiss
Boiler Room Fraud: An Operational Plan Utilizing The Injunction Against Fraud Pursuant To 18 U.S.C. §1345 , Robert M. Twiss
Pepperdine Law Review
No abstract provided.
Private Equity & Private Suits: Using 10b-5 Antifraud Suits To Discipline A Transforming Industry, Kenneth J. Black
Private Equity & Private Suits: Using 10b-5 Antifraud Suits To Discipline A Transforming Industry, Kenneth J. Black
Michigan Business & Entrepreneurial Law Review
This note demonstrates why private equity will no longer be able to avoid private investor suits as it has (mostly) done in the past and explores the industry’s response to a growing number of investor suits. Notably, the industry has already begun to shift its strategy from regulatory avoidance to regulatory capture, at least in part to avoid investor suits. Given these changes, this note proposes that the best way to maintain discipline in the transforming private equity market is to protect the ability of investors to bring private suits.
"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.
Social Media Evidence In Government Investigations And Criminal Proceedings: A Frontier Of New Legal Issues, Justin P. Murphy, Adrian Fontecilla
Social Media Evidence In Government Investigations And Criminal Proceedings: A Frontier Of New Legal Issues, Justin P. Murphy, Adrian Fontecilla
Richmond Journal of Law & Technology
As the newest pillar of communication in today’s society, social media is revolutionizing how the world does business, discovers and shares news, and instantly engages with friends and family. Not surprisingly, because social media factors into the majority of cases in some respect, this exploding medium significantly affects government investigations and criminal litigation. Social media evidence includes, among other things, photographs, status updates, a person’s location at a certain time, and direct communications to or from a defendant’s social media account. This Article will examine the importance of social media in government investigations and criminal litigation, including access to and …
Channel Checking And Insider Trading Liability, Michael Byun
Channel Checking And Insider Trading Liability, Michael Byun
Michigan Business & Entrepreneurial Law Review
This note addresses the potential legality or illegality of channel checking in the context of a private equity buyout. In Part II, this note uses a hypothetical to demonstrate a situation in which a private equity acquirer might engage in a channel check. In Part III, this note analyzes federal judicial and SEC cases that have developed various categories of insider trading liability, and provides a framework for insider trading liability. In Part IV, this note applies the analysis from Part III to the hypothetical described in Part II. Part IV attempts to reach a conclusion about whether the private …
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.
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.
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.