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Articles 451 - 480 of 494
Full-Text Articles in Securities Law
Spawning The Sec, Henry Laurence
Spawning The Sec, Henry Laurence
Indiana Journal of Global Legal Studies
No abstract provided.
Stock Markets And The Globalization Of Retirement Savings - Implications Of Privatization Of Government Pensions For Securities Regulators, Roberta S. Karmel
Stock Markets And The Globalization Of Retirement Savings - Implications Of Privatization Of Government Pensions For Securities Regulators, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
Integration Of International Financial Regulatory Standards For The Chinese Economic Area: The Challenge For China, Hong Kong, And Taiwan, Lawrence L.C. Lee
Integration Of International Financial Regulatory Standards For The Chinese Economic Area: The Challenge For China, Hong Kong, And Taiwan, Lawrence L.C. Lee
Northwestern Journal of International Law & Business
This article initially reviews the current development of financial services that converge regulatory systems around the world. Along with focusing on banking and securities, this article assesses financial systems and regulators within China, Hong Kong, and Taiwan respectively. The evaluation of the CEA's financial system is based on recommendations issued by the Basle Committee. In addition, with respect to the principle of national treatment, this article evaluates the operations of foreign financial institutions in the CEA. In the future, participation in the WTO will enable the CEA to experience greater growth and increase its participation in the internationalization of financial …
Fasb V. Iasc: Are The Structure And Standard Setting Process At The Iasc Adequate For The Securities And Exchange Commission To Accept International Accounting Standards For Cross-Border Offerings? , Charles Canfield
Northwestern Journal of International Law & Business
This comment compares and contrasts the IASC's structure and stan- dard setting process with the structure and process for promulgating ac- counting standards of the Financial Accounting Standards Board ("FASB"), the standard setter for the United States. The purpose of this comparison is to determine whether or not the IASC's structure and process for standard development are adequate for the development of acceptable core standards. This comparison uses FASB, not for the purpose of imposing FASB as the standard setter for the world, but for the purpose of comparing the IASC with an established long-standing standard setter, and because the …
The Political Economy Of Statutory Reach: U.S. Disclosure Rules In A Globalizing Market For Securities, Merritt B. Fox
The Political Economy Of Statutory Reach: U.S. Disclosure Rules In A Globalizing Market For Securities, Merritt B. Fox
Michigan Law Review
This Article addresses the appropriate reach of the U.S. mandatory securities disclosure regime. While disclosure obligations are imposed on issuers, they are triggered by transactions:- the public offering of, or public trading in, the issuers' shares. Share transactions are taking o n an increasingly transnational character. The barriers to a truly global market for equities continue to lessen: financial information is becoming increasingly globalized and it is becoming increasingly inexpensive and easy to effect share transactions abroad. There are approximately 41,000 issuers of publicly traded shares in the world. For an ever larger portion of these issuers, there will be …
The Body As Commodity: The Use Of Markets To Cure The Organ Deficit, David E. Jefferies
The Body As Commodity: The Use Of Markets To Cure The Organ Deficit, David E. Jefferies
Indiana Journal of Global Legal Studies
No abstract provided.
Wall Street? Where We're Going We Don't Need Wall Street: Do Securities Regulators Stand A Chance In Cyberspace?, Neil D. Schwartz
Wall Street? Where We're Going We Don't Need Wall Street: Do Securities Regulators Stand A Chance In Cyberspace?, Neil D. Schwartz
Florida State University Journal of Transnational Law & Policy
No abstract provided.
Securities Market And Securities Regulations In China, Fengxia Dai
Securities Market And Securities Regulations In China, Fengxia Dai
LLM Theses and Essays
China is a large developing country with a socialist ideology that is currently undergoing a period of reform and transformation. In December 1990, China opened its first national securities market - the Shanghai Securities Exchange. This was soon followed in November 1991 by the first special shares denominated in foreign currencies and sold only to overseas investors. These important steps in the development of China’s securities industry indicate commitment by Chinese authorities to the two key components of the nation’s economic reform program - economic systemic reform, and opening to the outside world. China’s securities market and securities regulations contain …
Defending Sec And Doj Fcpa Investigations And Conducting Related Corporate Internal Investigations: The Triton Energy/Indonesia Sec Consent Decree Settlements, Arthur F. Mathews
Defending Sec And Doj Fcpa Investigations And Conducting Related Corporate Internal Investigations: The Triton Energy/Indonesia Sec Consent Decree Settlements, Arthur F. Mathews
Northwestern Journal of International Law & Business
This article will summarize the foreign bribery/corrupt foreign pay- ments provisions of the FCPA, briefly survey the related books and records and internal accounting controls provisions, analyze available defenses to civil and criminal FCPA charges, and explore sensitive substantive and strategic issues that arise in the defense of SEC and DOJ/grand jury investi- gations and in the conduct of related corporate internal investigations. This article will also analyze the recent SEC consent decree settlements in the Triton Energy/Indonesia case, and explore the types of defenses that might be pursued if an FCPA foreign payments case like Triton were litigated rather …
Does Russia Need A Securities Law?, Greg Lumelsky
Does Russia Need A Securities Law?, Greg Lumelsky
Northwestern Journal of International Law & Business
The question in the title of this article is not necessarily rhetorical. Perhaps a more appropriate inquiry is, does Russia need its current securi- ties law?' The response to the titular question is, as I will argue, clearly yes. The answer to the second question is to a large extent negative. Given the prevailing economic conditions in Russia, the course of enterprise pri- vatization, and the principal institutions shaping Russian capital markets, there is good reason to think that rather than assisting the growth and en- trenchment of a market in securities, much of the current Russian securities legislation will …
Globalizing Sanctions Against Foreign Bribery: The Emergence Of A New International Legal Consensus, David A. Gantz
Globalizing Sanctions Against Foreign Bribery: The Emergence Of A New International Legal Consensus, David A. Gantz
Northwestern Journal of International Law & Business
Part I of the article begins with a review of the rationale and key legal ele- ments of the U.S. Foreign Corrupt Practices Act. Part II describes recent efforts by the United States to convince other governments and firms of the need for binding, enforceable and universally accepted rules against corrupt payments to foreign public officials. Parts III and IV survey the activities of various governmental organizations and major private sector groups that support international efforts to effectively discourage foreign bribery, re- spectively. The key sections, Parts V and VI, describe, analyze and critique the two major international conventions, the …
International Financial Institutions Face The Corruption Eruption: If The Ifis Put Their Muscle And Money Where Their Mouth Is, The Corruption Eruption May Be Capped, James P. Jr. Wesberry
International Financial Institutions Face The Corruption Eruption: If The Ifis Put Their Muscle And Money Where Their Mouth Is, The Corruption Eruption May Be Capped, James P. Jr. Wesberry
Northwestern Journal of International Law & Business
This article addresses what IFIs are doing, are not doing, and hopefully might do to help cap the corruption eruption sweeping our world. The article primarily relates the efforts of the World Bank in this area and briefly discusses efforts by other major IFIs.
The Development Of Compliance Programs: One Company's Experience, Patrick J. Head
The Development Of Compliance Programs: One Company's Experience, Patrick J. Head
Northwestern Journal of International Law & Business
Though the FCPA is only a small portion of the coverage of corporate compliance programs, this perspective will focus on the FCPA and, to a certain extent, on other collateral impact statutes, such as securities and in- ternal revenue laws. It will not delve into related statutes, such as the over- seas reach of antitrust laws.
Subject Matter Jurisdiction Under The Federal Securities Laws: The State Of Affairs After Itoba, Joseph P. Garland, Brian P. Murray
Subject Matter Jurisdiction Under The Federal Securities Laws: The State Of Affairs After Itoba, Joseph P. Garland, Brian P. Murray
Maryland Journal of International Law
No abstract provided.
Global Trends In Securities Regulation: The Changing Legal Climate, Dr. Barry A.K. Rider
Global Trends In Securities Regulation: The Changing Legal Climate, Dr. Barry A.K. Rider
Penn State International Law Review
No abstract provided.
Protection Of Individual Investors Under U.S. Securities Laws: The Impact Of International Regulatory Competition, J. William Hicks
Protection Of Individual Investors Under U.S. Securities Laws: The Impact Of International Regulatory Competition, J. William Hicks
Indiana Journal of Global Legal Studies
No abstract provided.
Living With U.S. Regulations: Complying With The Rules And Avoiding Litigation, Roberta S. Karmel
Living With U.S. Regulations: Complying With The Rules And Avoiding Litigation, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
Barriers To Foreign Issuer Entry Into U.S. Markets, Roberta S. Karmel, Mary S. Head
Barriers To Foreign Issuer Entry Into U.S. Markets, Roberta S. Karmel, Mary S. Head
Faculty Scholarship
No abstract provided.
The Second Circuit's Role In Expanding The Sec's Jurisdiction Abroad, Roberta S. Karmel
The Second Circuit's Role In Expanding The Sec's Jurisdiction Abroad, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
The Brooklyn Law School -- New York Stock Exchange, Inc. Breakfast Roundtables, Roberta S. Karmel
The Brooklyn Law School -- New York Stock Exchange, Inc. Breakfast Roundtables, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
Case Digest, Law Review Staff
Case Digest, Law Review Staff
Vanderbilt Journal of Transnational Law
MEDICAL MALPRACTICE ABROAD BY UNITED STATES PHYSICIAN IN CONNECTION WITH DEPARTMENT OF STATE REGULATIONS GOVERNING TORT CLAIMS PROVIDED FOR AN INVESTIGATIVE PROCEDURE FOLLOWED BY AGENCY DECISION--AGENCY FOR INTERNATIONAL DEVELOPMENT HOLDS NO CONSTITUTIONAL OBLIGATIONS TO EVALUATE MEDICAL MALPRACTICE CLAIM ON THE MERITS AND IN ACCORD WITH MINIMAL DUE PROCESS. Tarpeh-Doe v. United States, 904 F.2d719 (D.C. Cir. 1990).
THE FOREIGN CORRUPT PRACTICES ACT DOES NOT CREATE AN IMPLIED PRIVATE RIGHT OF ACTION THAT KENTUCKY TOBACCO GROWERS COULD USE TO RECOVER DAMAGES FROM COMPANIES THAT ALLEGEDLY ENGAGED IN CORRUPT PRACTICES TO THE DETRIMENT OF GROWERS. THE ACT OF STATE DOCTRINE, HOWEVER, DOES …
The Impact Of Technology On The Trading Of Securities: The Emerging Global Market And The Implications For Regulation, 24 J. Marshall L. Rev. 299 (1991), Lewis D. Solomon, Louise Corso
The Impact Of Technology On The Trading Of Securities: The Emerging Global Market And The Implications For Regulation, 24 J. Marshall L. Rev. 299 (1991), Lewis D. Solomon, Louise Corso
UIC Law Review
No abstract provided.
The Eec Merger Regulation And Its Impact On Non-Eec Businesses, Alec Burnside, Carl Meyntjens False
The Eec Merger Regulation And Its Impact On Non-Eec Businesses, Alec Burnside, Carl Meyntjens False
BYU Law Review
No abstract provided.
Company Law In The European Single Market, Richard D. English
Company Law In The European Single Market, Richard D. English
BYU Law Review
No abstract provided.
Sec Regulation Of Multijurisdictional Offerings, Roberta S. Karmel
Sec Regulation Of Multijurisdictional Offerings, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
The Changing Structure Of The Financial Services Industry And The Implications For International Securities Regulation, Aulana Peters
The Changing Structure Of The Financial Services Industry And The Implications For International Securities Regulation, Aulana Peters
Washington and Lee Law Review
No abstract provided.
International Cooperation In Securities Enforcement
International Cooperation In Securities Enforcement
Washington and Lee Law Review
No abstract provided.
Introduction Symposium: Can The International Securities Markets Be Regulated, Roberta S. Karmel
Introduction Symposium: Can The International Securities Markets Be Regulated, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
The Internationalization Of The Securities Markets: Preface To A Symposium, Joel Seligman
The Internationalization Of The Securities Markets: Preface To A Symposium, Joel Seligman
Michigan Journal of International Law
This preface begins by tracing certain of the initial steps taken by the SEC in the internationalization of securities trading. Regulations involving issuers of new securities are discussed in two contexts. First, when foreign private issuers offer securities into the United States, and second, when securities are simultaneously offered in the United States and abroad. The preface concludes by introducing each of the articles in this symposium.
The Changing Structure Of The Securities Markets And The Securities Industry: Implications For International Securities Regulation, Aulana L. Peters, Andrew E. Feldman
The Changing Structure Of The Securities Markets And The Securities Industry: Implications For International Securities Regulation, Aulana L. Peters, Andrew E. Feldman
Michigan Journal of International Law
This article addresses the impact internationalization has had on the world's securities markets with a particular focus on its role in forcing change in the structure of those markets. Part I describes the forces involved in the internationalization process, and analyzes capital movement and other phenomena that demonstrate the extent of internationalization. Next, it reviews the structural changes that securities markets and the securities industry have made in response to the internationalization process. Part II analyzes the measures regulators have taken to address the implications of those developments. Part III discusses the October Market Break and how it illustrates the …