Open Access. Powered by Scholars. Published by Universities.®
- Discipline
-
- Securities Law (26)
- Banking and Finance Law (12)
- Administrative Law (11)
- Judges (9)
- President/Executive Department (6)
-
- Law and Economics (5)
- Business Organizations Law (4)
- Legislation (3)
- International Law (2)
- Legal Writing and Research (2)
- Science and Technology Law (2)
- State and Local Government Law (2)
- Business (1)
- Business Administration, Management, and Operations (1)
- Commercial Law (1)
- Communication (1)
- Comparative and Foreign Law (1)
- Constitutional Law (1)
- Consumer Protection Law (1)
- Education Law (1)
- Finance and Financial Management (1)
- Journalism Studies (1)
- Jurisprudence (1)
- Labor and Employment Law (1)
- Law and Society (1)
- Law of the Sea (1)
- Legal Education (1)
- Legal Profession (1)
- Military, War, and Peace (1)
- Institution
-
- Pepperdine University (10)
- Selected Works (4)
- Washington and Lee University School of Law (4)
- Maurer School of Law: Indiana University (2)
- St. John's University School of Law (2)
-
- University of Georgia School of Law (2)
- Fordham Law School (1)
- Nova Southeastern University (1)
- Penn State Dickinson Law (1)
- Roger Williams University (1)
- Saint Louis University School of Law (1)
- Santa Clara Law (1)
- Touro University Jacob D. Fuchsberg Law Center (1)
- UIdaho Law (1)
- University of Maine School of Law (1)
- University of Maryland Francis King Carey School of Law (1)
- University of Miami Law School (1)
- University of San Diego (1)
- Vanderbilt University Law School (1)
- Publication
-
- Journal of the National Association of Administrative Law Judiciary (10)
- Washington and Lee Law Review (4)
- Faculty Publications (3)
- Robert B. Ahdieh (2)
- Articles (1)
-
- Christopher K. Odinet (1)
- Dickinson Law Review (2017-Present) (1)
- Fordham Journal of Corporate & Financial Law (1)
- Georgia Law Review (1)
- Indiana Journal of Global Legal Studies (1)
- Indiana Law Journal (1)
- Journal of Intellectual Property Law (1)
- Law Library Newsletters/Blog (1)
- Maine Law Review (1)
- Maryland Law Review Online (1)
- Nova Law Review (1)
- Saint Louis University Law Journal (1)
- San Diego International Law Journal (1)
- Sarah Haan (1)
- Touro Law Review (1)
- University of Miami International and Comparative Law Review (1)
- Vanderbilt Law School Faculty Publications (1)
- Publication Type
Articles 1 - 30 of 37
Full-Text Articles in Law
Cybersecurity, Shareholders, And The Boardroom: An Analysis Of Current And Proposed Measures For Protecting Corporate Intellectual Property, Kathryn V. Wymer
Cybersecurity, Shareholders, And The Boardroom: An Analysis Of Current And Proposed Measures For Protecting Corporate Intellectual Property, Kathryn V. Wymer
Journal of Intellectual Property Law
No abstract provided.
Law Library Blog (November 2018): Legal Beagle's Blog Archive, Roger Williams University School Of Law
Law Library Blog (November 2018): Legal Beagle's Blog Archive, Roger Williams University School Of Law
Law Library Newsletters/Blog
No abstract provided.
Coinsensus: The Need For Uniform National Virtual Currency Regulations, Anisha Reddy
Coinsensus: The Need For Uniform National Virtual Currency Regulations, Anisha Reddy
Dickinson Law Review (2017-Present)
Google search volume for bitcoin and bitcoin-related keywords increased by as much as 1000 percent in 2017 from previous years. This increased interest comes hand-in-hand with increased regulatory and legislative scrutiny. Currently, there is disparate regulation for virtual currencies across national and state borders alike. States’ promulgation of various and incongruous virtual currency regulations have forced service providers to withdraw from different states within the country. However, transactions are not contained within state lines, and disparate state-by-state regulation is impracticable.
The Uniform Law Commission recognized the need for uniform guidance for those entering the North American market and drafted the …
Sec Disgorgement Actions: Equitable Remedy Or Penalty?, Armando Lopez
Sec Disgorgement Actions: Equitable Remedy Or Penalty?, Armando Lopez
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
Sg’S Brief In Lucia Could Portend The End Of The Alj Program As We Have Known It, Jeffrey S. Lubbers
Sg’S Brief In Lucia Could Portend The End Of The Alj Program As We Have Known It, Jeffrey S. Lubbers
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
Lucia Et Al. V. Securities And Exchange Commission: Opinion Of The Court, Elena Kagan
Lucia Et Al. V. Securities And Exchange Commission: Opinion Of The Court, Elena Kagan
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
Lucia Et Al. V. Securities And Exchange Commission: Brief Amicus Curiae Of Administrative Law Scholars In Support Of Neither Party, Richard J. Pierce Jr.
Lucia Et Al. V. Securities And Exchange Commission: Brief Amicus Curiae Of Administrative Law Scholars In Support Of Neither Party, Richard J. Pierce Jr.
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
Lucia Et Al. V. Securities And Exchange Commission: Brief Of Amicus Curiae The Forum Of United States Administrative Law Judges In Support Of Neither Party, Gerald Marvin Bober
Lucia Et Al. V. Securities And Exchange Commission: Brief Of Amicus Curiae The Forum Of United States Administrative Law Judges In Support Of Neither Party, Gerald Marvin Bober
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
Lucia Et Al. V. Securities And Exchange Commission: Brief Amicus Curiae Of Federal Administrative Law Judges Conference In Support Of Neither Party, John M. Vittone
Lucia Et Al. V. Securities And Exchange Commission: Brief Amicus Curiae Of Federal Administrative Law Judges Conference In Support Of Neither Party, John M. Vittone
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
Introduction To Lucia Et Al. V. Securities And Exchange Commission, Selina Malherbe
Introduction To Lucia Et Al. V. Securities And Exchange Commission, Selina Malherbe
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
Equity Crowdfunding Portals Should Join And Enhance The Crowd By Providing Venture Formation Resources, Jeff Thomas
Equity Crowdfunding Portals Should Join And Enhance The Crowd By Providing Venture Formation Resources, Jeff Thomas
Nova Law Review
No abstract provided.
The Inevitable United States Adoption Of Ifrs: How And Why The United States Should Be Prepared, Erika M. Tribuzi
The Inevitable United States Adoption Of Ifrs: How And Why The United States Should Be Prepared, Erika M. Tribuzi
Indiana Journal of Global Legal Studies
In an age where technology makes the world smaller and business transactions happen by the microsecond, both private and public entities have utilized global standards. These standards are often voluntary and span many different industries. In the twenty-first century, financial reporting standards have not been immune toward the pull for global uniformity. The International Financial Reporting Standards (IFRS) are a set of international financial reporting standards that countries can choose to adopt in full or in part. Currently, there are 143 countries that have adopted IFRS in some capacity. This Note addresses the voluntary nature of global standards in the …
Citing Counsel's Opinion About The Merits Of Legal Proceedings In Sec Filings, Wendy Gerwick Couture
Citing Counsel's Opinion About The Merits Of Legal Proceedings In Sec Filings, Wendy Gerwick Couture
Articles
No abstract provided.
Dialectical Regulation, Robert B. Ahdieh
Dialectical Regulation, Robert B. Ahdieh
Robert B. Ahdieh
While theories of regulation abound, woefully inadequate attention has been given to growing patterns of "intersystemic" and "dialectical" regulation in the world today. In this rapidly expanding universe of interactions, independent regulatory agencies, born of autonomous jurisdictions, nonetheless face a combination of jurisdictional overlap with, and regulatory dependence on, one another. Here, the cross-jurisdictional interaction of regulators is no longer the voluntary interaction embraced by transnationalists; it is, instead, an unavoidable reality of acknowledgement and engagement, potentially culminating in the integration of discrete sets of regulatory rules into a collective whole.
Such patterns of regulatory engagement are increasingly evident, across …
From Federal Rules To Intersystemic Governance In Securities Regulation, Robert B. Ahdieh
From Federal Rules To Intersystemic Governance In Securities Regulation, Robert B. Ahdieh
Robert B. Ahdieh
In this brief essay, prepared as part of a symposium on The New Federalism: Plural Governance in a Decentered World, I explore the regulatory dynamics at work: (1) in the operation of Securities Exchange Act Rule 14a-8, (2) in the interventions of then-Attorney General Eliot Spitzer in the national securities markets, and (3) in recent steps by the Securities and Exchange Commission to reconcile U.S. and international accounting standards. In each case, a distinct dynamic of regulatory interaction - what I term intersystemic governance - can be observed. In such cases, overlapping jurisdiction combines with various sources of interdependence to …
Proxy Access Voting: Evaluating Proxy Access And The Recent Phenomenon Of Corporations Adopting Shareholder Protective Policies, Danielle Vukovich
Proxy Access Voting: Evaluating Proxy Access And The Recent Phenomenon Of Corporations Adopting Shareholder Protective Policies, Danielle Vukovich
San Diego International Law Journal
Shareholders hold a financial stake in a corporation, and therefore are often viewed as owners of the corporation and believed to be in control for all corporate actions. However, their powers are circumscribed. Board of directors committees nominate directors to serve the corporation and these directors have the power to select the corporation’s officers. The committees provide shareholders a slate of proposed directors that are voted on and approved at the annual shareholder meeting. Shareholders may also propose their own slate of directors, but this typically requires a proxy contest, which can be expensive due to the costs both associated …
Are The Stock Markets "Rigged"? An Empirical Analysis Of Regulatory Change, Stephen Diamond
Are The Stock Markets "Rigged"? An Empirical Analysis Of Regulatory Change, Stephen Diamond
Faculty Publications
Are the stock markets "rigged"? An empirical analysis of regulatory change: Volatile events in the stock market such as the 2010 Flash Crash have sparked concern that financial markets are “rigged” in favor of trading firms that use high frequency trading (“HFT”) systems. We analyze a regulatory change implemented by the SEC in 2007 by examining its effect on a key market metric, the bid-ask spread, an investor cost, and find that the regulatory shift, indeed, disadvantages investors. We link the implementation of this change to a shift in the volume of trades from a low-cost venue to a high-cost …
Kokesh V. Sec: The Supreme Court Redefines An Effective Securities Enforcement Tool, Conor Daly
Kokesh V. Sec: The Supreme Court Redefines An Effective Securities Enforcement Tool, Conor Daly
Maryland Law Review Online
No abstract provided.
What Would We Do Without Them: Whistleblowers In The Era Of Sarbanes-Oxley And Dodd-Frank, Sean Griffith, Jane A. Norberg, Ian Engoron, Alice Brightsky, Tracey Mcneil, Jennifer M. Pacella, Judith Weinstock, Jason Zuckerman
What Would We Do Without Them: Whistleblowers In The Era Of Sarbanes-Oxley And Dodd-Frank, Sean Griffith, Jane A. Norberg, Ian Engoron, Alice Brightsky, Tracey Mcneil, Jennifer M. Pacella, Judith Weinstock, Jason Zuckerman
Fordham Journal of Corporate & Financial Law
No abstract provided.
Comment On Whistling Loud And Clear: Applying Chevron To Subsection 21f Of Dodd–Frank, Sarah C. Haan
Comment On Whistling Loud And Clear: Applying Chevron To Subsection 21f Of Dodd–Frank, Sarah C. Haan
Sarah Haan
No abstract provided.
The Leidos Mixup And The Misunderstood Duty To Disclose In Securities Law, Matthew C. Turk, Karen E. Woody
The Leidos Mixup And The Misunderstood Duty To Disclose In Securities Law, Matthew C. Turk, Karen E. Woody
Washington and Lee Law Review
This Article concerns the recent Supreme Court case, Leidos,Inc. v. Indiana Public Retirement System (Leidos), and examines the broader issues that it raised for securities law. The consensus among scholars and practitioners is that Leidos presented a direct conflict among the circuit courts over a core question of securities law—when a failure to comply with the SEC’s disclosure requirements can constitute fraud under Rule 10b-5. This Article provides a much different interpretation of the case. It begins by demonstrating that the circuit split which is presumed to have brought Leidos to the Supreme Court does not in fact exist. …
Pepperdine University School Of Law Legal Summaries, Armando Lopez
Pepperdine University School Of Law Legal Summaries, Armando Lopez
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
The Shadow Of Free Enterprise: The Unconstitutionality Of The Securities & Exchange Commission’S Administrative Law Judges, Linda D. Jellum, Moses M. Tincher
The Shadow Of Free Enterprise: The Unconstitutionality Of The Securities & Exchange Commission’S Administrative Law Judges, Linda D. Jellum, Moses M. Tincher
Journal of the National Association of Administrative Law Judiciary
Six years ago, Congress enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), for the first time giving the Securities and Exchange Commission (SEC) the power to seek monetary penalties through its in-house adjudication. The SEC already had the power to seek such penalties in federal court. With the Dodd-Frank Act, the SEC’s enforcement division could now choose between an adjudication before an SEC Administrative Law Judge (ALJ) or a civil action before an Article III judge. With this new choice, the SEC realized a significant home-court advantage. For example, in 2014, the SEC’s enforcement division prevailed …
Humphrey’S Executor Squared: Free Enterprise Fund V. Public Company Accounting Oversight Board And Its Implications For Administrative Law Judges, Robert S. Garrison Jr.
Humphrey’S Executor Squared: Free Enterprise Fund V. Public Company Accounting Oversight Board And Its Implications For Administrative Law Judges, Robert S. Garrison Jr.
Journal of the National Association of Administrative Law Judiciary
No abstract provided.
What I Learned Trading Cryptocurrencies While Studying The Law, Joshua S. Morgan
What I Learned Trading Cryptocurrencies While Studying The Law, Joshua S. Morgan
University of Miami International and Comparative Law Review
No abstract provided.
Creating Mischief: The Tenth Circuit Declares The Sec’S Administrative Law Judges Unconstitutional In Bandimere V. Securities Exchange Commission, Casey M. Olesen
Creating Mischief: The Tenth Circuit Declares The Sec’S Administrative Law Judges Unconstitutional In Bandimere V. Securities Exchange Commission, Casey M. Olesen
Maine Law Review
Since the passage of the APA, administrative agencies’ use of Administrative Law Judges (ALJs) to preside over hearings has exploded, and now far outpaces the number trials conducted before federal judges. The Securities and Exchange Commission (SEC) is one such agency that heavily utilizes ALJs to conduct their hearings. Recently, following an apparent higher percentage of SEC wins before their own ALJs as compared to before federal judges, a new constitutional challenge on the basis of the Appointments Clause has been brought before several circuits; that the SEC’s ALJs are inferior officers of the SEC, not employees, and therefore are …
Removing A Splinter By Amputating The Limb: How The Sec Misses The Mark (Again) On Executive Compensation With The Pay Ratio Disclosure Rule, Carter D. Gage
Removing A Splinter By Amputating The Limb: How The Sec Misses The Mark (Again) On Executive Compensation With The Pay Ratio Disclosure Rule, Carter D. Gage
Saint Louis University Law Journal
No abstract provided.
The Sec Rides Into Town: Defining An Ico Securities Safe Harbor In The Cryptocurrency “Wild West”, C. Daniel Lockaby
The Sec Rides Into Town: Defining An Ico Securities Safe Harbor In The Cryptocurrency “Wild West”, C. Daniel Lockaby
Georgia Law Review
This Note recommends a viable way for the Securities and Exchange Commission (SEC) to apply the Regulation S foreign-issuer safe harbor to Initial Coin Offerings (ICOs). In the last two years, cryptocurrencies and blockchain-based companies have witnessed dramatic rises in price and value. New entrants to the crypto-markets often use ICOs as virtual public offerings to earn capital and develop their projects.
The SEC has signaled that they plan to fold ICOs and blockchain offerings into existing securities law. How these new virtual capital-raising mechanisms will fit into this framework is still largely unknown. As a defensive measure, many ICOs …
Are Charter Schools The Second Coming Of Enron?: An Examination Of The Gatekeepers That Protect Against Dangerous Related-Party Transactions In The Charter School Sectors, Preston C. Green Iii, Bruce D. Baker, Joseph O. Oluwole
Are Charter Schools The Second Coming Of Enron?: An Examination Of The Gatekeepers That Protect Against Dangerous Related-Party Transactions In The Charter School Sectors, Preston C. Green Iii, Bruce D. Baker, Joseph O. Oluwole
Indiana Law Journal
INTRODUCTION
OVERVIEW OF ENRON
A. ENRON AND DEREGULATION
B. THE LJM SPES
C. ENRON’S COLLAPSE
II: ENRON’S GATEKEEPER PROBLEMS
A. ARTHUR ANDERSEN
B. INDEPENDENT ANALYSTS
C. CREDIT RATING AGENCIES
D. ENRON’S BOARD OF DIRECTORS
E. SECURITIES AND EXCHANGE COMMISSION (SEC)
III: CHARTER SCHOOLS AND RELATED-PARTY TRANSACTIONS
A. CHARTER SCHOOL DEREGULATION AND PRIVATE INVESTORS
B. EXAMPLES OF ENRON-LIKE RELATED-PARTY TRANSACTIONS
1. IMAGINE SCHOOLS
2. IVY ACADEMIA CHARTER SCHOOL
3. AMERICAN INDIAN MODEL CHARTER SCHOOLS
4. GRAND TRAVERSE ACADEMY
5. PENNSYLVANIA CYBER CHARTER SCHOOL
C. THE FEDERAL GOVERNMENT, RELATED-PARTY TRANSACTIONS, AND THE NEED FOR STRONG GATEKEEPING
IV: CHARTER SCHOOL GATEKEEPERS
A. AUDITORS …
Taking Back Bitcoin, Zachary Segal