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Articles 1 - 7 of 7
Full-Text Articles in Law
The Insidious Remnants Of State Rules Respecting Capital Formation, Rutheford B. Campbell Jr.
The Insidious Remnants Of State Rules Respecting Capital Formation, Rutheford B. Campbell Jr.
Law Faculty Scholarly Articles
As we move into the Twenty-First Century, state blue sky laws and regulations continue to govern a significant portion of the capital formation activities of our domestic businesses. As a result, state administrators, influenced by their historically informed preferences and local traditions, continue to play important roles when businesses attempt to access external capital sources.
Today, however, the effects of state blue sky laws, regulations, and administrators on capital formation are felt almost exclusively by small businesses. The capital formation activities of larger businesses generally have been freed from state control, most recently by the preemption contained in the National …
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.
Hong Kong's Reformed Broker Contribution Rules, Lin (Lynn) Bai
Hong Kong's Reformed Broker Contribution Rules, Lin (Lynn) Bai
Faculty Articles and Other Publications
Lynn Bai of the Hong Kong Securities and Futures Commission outlines the new risk-based calculation method for brokers' contributions to the stock clearing fund.
Establishing A Securities Arbitration Clinic: The Experience At Pace, Barbara Black
Establishing A Securities Arbitration Clinic: The Experience At Pace, Barbara Black
Faculty Articles and Other Publications
In the fall of1997 Pace University School of Law established one of the first law school clinics to provide student assistance to small investors who have disputes with their broker-dealers. What follows is a brief account of the clinic's educational objectives, an analysis of the initial organizational issues, and a report on the clinic's operation during its first two years. I am writing this in the hope that it will provide guidance and assistance to other law schools that contemplate establishing a securities arbitration clinic.
This is a nuts-and-bolts article written from the perspective of an experienced law professor who …
Europe And Overseas Commodity Traders V. Banque Paribas London: Zero Steps Forward And Two Steps Back, Paige K. Willison
Europe And Overseas Commodity Traders V. Banque Paribas London: Zero Steps Forward And Two Steps Back, Paige K. Willison
Vanderbilt Journal of Transnational Law
While international securities transactions have become the norm in today's globalized economy, such transactions necessarily implicate the laws of more than one nation, thereby creating both conflict and confusion. Due to the depth and breadth of U.S. securities laws, plaintiffs often prefer to sue in the United States under U.S. law. Yet inappropriately applying U.S. law to transnational transactions may offend notions of comity. This Note discusses the different tools used to decide the following jurisdictional issues. First, under what circumstances do U.S. anti-fraud rules apply to securities transactions? Second, under what circumstances do U.S. registration laws apply? Over the …
Don't Sell Out, Sell Bonds: The Pullman Group's Securitization Of The Music Industry, Hewson Chen
Don't Sell Out, Sell Bonds: The Pullman Group's Securitization Of The Music Industry, Hewson Chen
Vanderbilt Journal of Entertainment & Technology Law
Securitization is the selling of debt to investors. In general, securitization converts future income streams like credit card receivables or auto loan payments to present in-pocket cash. Notably, this transformation from future income to current wealth gives the issuer of the security immediate access to cash at less cost than other financing methods such as bank loans. In the 1970s, this technique was applied to the housing industry, and since then, securitization has evolved into greater varieties of income streams, including medical insurance, typhoon insurance, and unused airline tickets. The application of securitization in the entertainment industry, however, remains largely …
Deconstructing Section 11: Public Offering Liability In A Continuous Disclosure Environment, Donald C. Langevoort
Deconstructing Section 11: Public Offering Liability In A Continuous Disclosure Environment, Donald C. Langevoort
Georgetown Law Faculty Publications and Other Works
This article is an effort to rethink civil liability in capital-raising transactions by large capitalization issuers. After a brief digression about who should set liability standards, the article then addresses two related questions. The first deals with a natural question: Should not the primary regulatory effort for large issuers be to assure continuous disclosure in the secondary marketplace, given the far larger volume of such trading in that market compared to that in primary transactions? Second, if we have developed a satisfactory regime of disclosure responsibilities for this setting, what more, if anything, in terms of liability protection, is needed …