Securities Law Commons^™

Enforcement Of Securities Laws Violations In The United Kingdom, James J. Fishman

Elisabeth Haub School of Law Faculty Publications

This article examines the weaknesses of the present system of enforcement and suggests changes to make it more effective. The article is divided into three parts: an analysis of the enforcement provisions of the Financial Services Act, the prosecution of securities offenses since its implementation, and the viability of self-regulatory enforcement.

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 …

Recent Initiatives In International Financial Regulation And Goals Of Competitiveness, Effectiveness, Consistency And Cooperation, Joel P. Trachtman

Northwestern Journal of International Law & Business

The purpose of this examination is first, to review the basis for and method of applying U.S. regulation in these functional areas to offshore activities of U.S. persons and to both U.S. and offshore activities of foreign persons, and to understand the differences in approach taken by the Board of Governors of the Federal Reserve System (the Board) and the Securities and Exchange Commission (the Commission) in interpreting the reach of prescriptive jurisdiction under the Bank Holding Company Act of 1956 (the BHC Act), the Securities Act of 1933 (the Securities Act) and the Securities Exchange Act of 1934 (the …

The Logic And (Uncertain) Significance Of Institutional Shareholder Activism, Edward B. Rock

All Faculty Scholarship

No abstract provided.

Securities Law Internationalization Of Securities Regulation - Multijurisdictional Disclosure System For Canada And The U.S., Anna T. Drummond

Villanova Law Review

No abstract provided.

Generating Precedent In Securities Industry Arbitration, David A. Lipton

Scholarly Articles

The author charts the progress made by the securities industry’s dispute resolution system as it went from judicial litigation to a system that relies almost exclusively on arbitration. Further advances were made by the adoption of the 1989 Rules Amendments, which, by introducing prehearing conferences and setting deadlines for document exchanges, cleared up many procedural issues. However, one serious problem remains: The present system does not provide a means to generate case precedent. The author suggests various ways to cure this defect.

Transfer, Pledge, Clearance And Settlement In The Japanese And United States Securities Markets, Charles W. Mooney Jr., Atsushi Kiyami

All Faculty Scholarship

No abstract provided.

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.

Competitive Deregulation Of Financial Services Activity In Europe After 1992, Caroline Bradley

Articles

No abstract provided.

Securities: Is "Any Note" Really A "Security"? Supreme Court Says "No" In Reves, John Scribner

Oklahoma Law Review

No abstract provided.

Causa Y Verificación, Martin Paolantonio, Eduardo Moccero

Martin Paolantonio

A propósito de una sentencia de la Sala E de la Cámara Nacional en lo Comercial, se realiza un análisis de los antecedentes -doctrina y jurisprudencia- acerca de la verificación de títulos valores abstractos en el ámbito concursal.

Opinions Of Counsel: What They Are And Why American Companies Ask For Them, Scott T. Fitzgibbon, Donald W. Glazer

Scott T. FitzGibbon

Legal opinions - formal letters of legal advice delivered by counsel in financial transactions - are a feature of the American legal scene. They have also gained wide acceptance abroad. This article describes the standard legal opinion in an American financing and describe its uses and importance to an American lawyer. It also contains suggestions for interpreting and analyzing legal opinions.

Shareholder Passivity Reexamined, Bernard S. Black

Michigan Law Review

This article argues that shareholder monitoring is possible: It's an idea that hasn't been tried, rather than an idea that has failed. I defer to a second article currently in draft the question of whether more monitoring by institutional shareholders is desirable. Will direct shareholder oversight, or indirect oversight through shareholder-nominated directors, improve corporate performance, prove counterproductive, or, perhaps, not matter much one way or the other? What are the benefits and risks in giving money managers - themselves imperfectly monitored agents - more power over corporate managers? If more shareholder voice is desirable, how much more and …

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

BYU Law Review

No abstract provided.

Arbitration Of A Securities Dispute—An Overview For The Practitioner, Richard C. Downing, Patrick R. James

University of Arkansas at Little Rock Law Review

No abstract provided.

Shareholder Access To The Proxy Revisited, Jayne W. Barnard

Faculty Publications

No abstract provided.

Arbitration Of Securities Disputes: Rodriguez And New Arbitration Rules Leave Investors Holding A Mixed Bag, William C. Hermann

Indiana Law Journal

No abstract provided.

The Insider Trading And Securities Fraud Enforcement Act: Has Congress Supplied A Limitations Period Appropriate For Use In Private 10b-5 Actions?, David J. Guin, David R. Donaldson

Washington and Lee Law Review

No abstract provided.

The Sec As A Bureaucracy: Public Choice, Institutional Rhetoric, And The Process Of Policy Formulation, Donald C. Langevoort

Washington and Lee Law Review

No abstract provided.

Safeguarding Investment Grade Bonds In The Event Of A Leveraged Buyout: Legislation Or Contract?

Washington and Lee Law Review

No abstract provided.

Transnational Securities Fraud Jurisdiction Under Section 10(B): The Case For A Flexible And Expansive Approach

Washington and Lee Law Review

No abstract provided.

Securities Arbitration After Mcmahon, Rodriguez, And The New Rules: Can Investors' Rights Really Be Protected?, Perry E. Wallace, Jr.

Vanderbilt Law Review

Securities arbitration' is now ascendant as a favored device for resolving disputes between broker-dealers and their customers, and much of this recent status derives from a series of United States Supreme Court decisions.' Culminating in Shearson/American Express,Inc. v. McMahon and Rodriguez de Quijas v. Shearson/American Ex-press, Inc., these decisions have ended the reign of certain restrictive judicial decisions that previously governed the availability of arbitration under the Federal Arbitration Act (FAA or Arbitration Act) Accordingly, such developments presage a greatly expanded use of arbitration as a future means of resolving disputes between broker-dealers and customers." Indeed, since the Supreme Court …

Protecting Nonshareholder Interests In The Market For Corporate Control: A Role For State Takeover Statutes, Frank J. Garcia

University of Michigan Journal of Law Reform

Part I of this Note describes a phenomenon of modern corporate activity first identified over fifty years ago as the "separation of ownership and control." This separation gives rise to the need for a governing corporate norm; recognizing the normative aspect of this phenomenon has direct implications for the takeover debate.

Part II analyzes the problem of a target board's fiduciary duty as the modern version of the fundamental normative issue of corporate law. It argues that the norm of shareholder wealth maximization, assumed as the starting point by those most in favor of an active and minimally regulated control …

Are Takeover Premiums Really Premiums? Market Price, Fair Value, And Corporate Law, Lynn A. Stout

Cornell Law Faculty Publications

No abstract provided.

Current Rico Policies Of The Department Of Justice, Edward S.G. Dennis, Jr.

Vanderbilt Law Review

In H.J. Inc. v. Northwestern Bell Telephone Co. the United States Supreme Court issued its latest opinion interpreting the reach of the Racketeer Influenced and Corrupt Organizations Act (RICO).' The H.J. Inc. decision comes at a time when the RICO statute is at the center of controversy. Those opposed to private treble damages suits particularly attack the statute. The defense bar attacks the use of the statute in white-collar prosecutions, especially in those cases involving securities fraud. If the defense bar has its way in Congress, RICO could not be invoked in cases involving fraud alone. The criminal defense bar …

Viii. Securities

Washington and Lee Law Review

No abstract provided.

Pinter V. Dahl: The Supreme Court's Attempt To Redefine The "Statutory Sellor" Under Section 12 Of The Securities Act Of 1933, Allen Kent Davis

Brigham Young University Journal of Public Law

No abstract provided.

Sec Regulation Of Multijurisdictional Offerings, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

Between Chiarella And Congress: A Guide To The Private Cause Of Action For Insider Trading Under The Federal Securities Laws, Peter J. Henning

Law Faculty Research Publications

No abstract provided.