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Articles 1 - 10 of 10
Full-Text Articles in Securities Law
De Facto Shareholder Primacy, Jeff Schwartz
The Customer's Nonwaivable Right To Choose Arbitration In The Securities Industry, Jill I. Gross
The Customer's Nonwaivable Right To Choose Arbitration In The Securities Industry, Jill I. Gross
Brooklyn Journal of Corporate, Financial & Commercial Law
Arbitration has been the predominant form of dispute resolution in the securities industry since the 1980s. Virtually all brokerage firms include predispute arbitration agreements (PDAAs) in their retail customer contracts, and have successfully fought off challenges to their validity. Additionally, the industry has long mandated that firms submit to arbitration at the demand of a customer, even in the absence of a PDAA.
More recently, however, brokerage firms have been arguing that forum selection clauses in their agreements with sophisticated customers (such as institutional investors and issuers) supersede firms’ duty to arbitrate under FINRA Rule 12200. Circuit courts currently are …
Open Sesame: The Myth Of Alibaba's Extreme Corporate Governance And Control, Yu-Hsin Lin, Thomas Mehaffy
Open Sesame: The Myth Of Alibaba's Extreme Corporate Governance And Control, Yu-Hsin Lin, Thomas Mehaffy
Brooklyn Journal of Corporate, Financial & Commercial Law
In September 2014, Alibaba Group Holding Limited (Alibaba) successfully launched a $25 billion initial public offering (IPO), the largest IPO ever, on New York Stock Exchange. Alibaba’s IPO success witnessed a wave among Chinese Internet companies to raise capital in U.S capital markets. A significant number of these companies have employed a novel, but poorly understood corporate ownership and control mechanism—the variable interest entity (VIE) structure and/or the disproportional control structure. The VIE structure was created in response to the Chinese restriction on foreign investments; however, it carries the risk of being declared illegal under Chinese law. The disproportional control …
Freedom Of Contract And The Securities Laws: Opting Out Of Securities Regulation By Private Agreement, Elaine A. Welle
Freedom Of Contract And The Securities Laws: Opting Out Of Securities Regulation By Private Agreement, Elaine A. Welle
Washington and Lee Law Review
No abstract provided.
Freedom Of Contract: The Trojan Horse Of Rule 10b-5, Margaret V. Sachs
Freedom Of Contract: The Trojan Horse Of Rule 10b-5, Margaret V. Sachs
Washington and Lee Law Review
No abstract provided.
Nonconsensual Repeal Of Third-Party Beneficiary Contract Rights: Senior Creditors Under Subordination Agreements, Jessica A. Hauser
Nonconsensual Repeal Of Third-Party Beneficiary Contract Rights: Senior Creditors Under Subordination Agreements, Jessica A. Hauser
Cardozo Law Review
No abstract provided.
The Interpretation Of Contracts Governing Corporate Debt Relationships, William W. Bratton Jr.
The Interpretation Of Contracts Governing Corporate Debt Relationships, William W. Bratton Jr.
Cardozo Law Review
No abstract provided.
Federal Courts - Use Of Mandamus To Compel Adjudication Of A Claim Within Exclusive Federal Jurisdiction, Glenn S. Goldstein
Federal Courts - Use Of Mandamus To Compel Adjudication Of A Claim Within Exclusive Federal Jurisdiction, Glenn S. Goldstein
Villanova Law Review
No abstract provided.
Creditors' Rights And Security Transactions -- 1960 Tennessee Survey, Forrest W. Lacey
Creditors' Rights And Security Transactions -- 1960 Tennessee Survey, Forrest W. Lacey
Vanderbilt Law Review
Two cases involving mechanic's liens were decided during the period under survey. Rowland v. Lowe' presented the question of the validity of a material men's lien against the owner of land subject to a contract of sale which required the purchaser to erect improvements on the land. In order to protect the vendor's lien, which was to be retained in the deed, the contract provided:
"The purchaser obligates himself to pay all sums for labor and materials in the construction of the improvements on said lot, and in no event shall there be any lien on the lot of ground …
Contracts By Outsiders To Influence Directors' Action
Contracts By Outsiders To Influence Directors' Action
Indiana Law Journal
Notes and Comments: Corporations