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Securities Law Commons

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Full-Text Articles in Securities Law

What Happens In Delaware Need Not Stay In Delaware: How Trulia Can Strengthen Private Enforcement Of The Federal Securities Laws, Ryan Lewis May 2017

What Happens In Delaware Need Not Stay In Delaware: How Trulia Can Strengthen Private Enforcement Of The Federal Securities Laws, Ryan Lewis

BYU Law Review

Class-action lawsuits have been used by private plaintiffs to enforce the federal securities laws since those laws were enacted in the 1930s. With the SEC retaining concurrent authority to enforce federal securities laws, a debate has emerged as to whether the private right of action helps or hinders public enforcement. The primary criticism of private securities litigation is that rent-seeking attorneys abuse the system by bringing frivolous litigation aimed at achieving a settlement and a fee. In the public merger context, the potentially disastrous consequences of failing to close an announced deal on time make corporations eager to settle potentially ...


The Hostile Poison Pill, A. Christine Hurt Dec 2016

The Hostile Poison Pill, A. Christine Hurt

Faculty Scholarship

No abstract provided.


Simmonds V. Credit Suisse Securities: Applying Delaware’S Demand Requirement To Section 16(B), Joseph Orien May 2012

Simmonds V. Credit Suisse Securities: Applying Delaware’S Demand Requirement To Section 16(B), Joseph Orien

BYU Law Review

No abstract provided.


Coco Rising: Can The Emergence Of Novel Hybrid Securities Protect From Future Liquidity Crises?, Eric S. Halperin Dec 2011

Coco Rising: Can The Emergence Of Novel Hybrid Securities Protect From Future Liquidity Crises?, Eric S. Halperin

Brigham Young University International Law & Management Review

No abstract provided.


In Re Williams Securities Litigation—Wcg Subclass: How Dura Met Daubert, Bryan L. Phipps Mar 2010

In Re Williams Securities Litigation—Wcg Subclass: How Dura Met Daubert, Bryan L. Phipps

BYU Law Review

No abstract provided.


Opening The Rule 10b-5 Floodgates: Ninth Circuit Split In Gilead Sciences Leaves The Loss Causation Pleading Standard In Limbo , Brandon J. Stoker Mar 2010

Opening The Rule 10b-5 Floodgates: Ninth Circuit Split In Gilead Sciences Leaves The Loss Causation Pleading Standard In Limbo , Brandon J. Stoker

BYU Law Review

No abstract provided.


Contemporary Legal Transplants: Legal Families And The Diffusion Of (Corporate) Law, Holger Spamann Spamann Dec 2009

Contemporary Legal Transplants: Legal Families And The Diffusion Of (Corporate) Law, Holger Spamann Spamann

BYU Law Review

No abstract provided.


Initial Public Offerings And The Failed Promise Of Disintermediation, A. Christine Hurt Dec 2008

Initial Public Offerings And The Failed Promise Of Disintermediation, A. Christine Hurt

Faculty Scholarship

No abstract provided.


Financial Services In The United States And United Kingdom: Comparative Approaches To Securities Regulation And Dispute Resolution, Cory Alpert Dec 2008

Financial Services In The United States And United Kingdom: Comparative Approaches To Securities Regulation And Dispute Resolution, Cory Alpert

Brigham Young University International Law & Management Review

No abstract provided.


Of Breaches Of The Peace, Home Invasions, And Securities Fraud, A. Christine Hurt Dec 2007

Of Breaches Of The Peace, Home Invasions, And Securities Fraud, A. Christine Hurt

Faculty Scholarship

No abstract provided.


Regulating Public Morals And Private Markets: Online Securities Trading, Internet Gambling And The Speculation Paradox, A. Christine Hurt Dec 2006

Regulating Public Morals And Private Markets: Online Securities Trading, Internet Gambling And The Speculation Paradox, A. Christine Hurt

Faculty Scholarship

No abstract provided.


What Google Can't Teach Us About Ipo Auctions (And What It Can), A. Christine Hurt Dec 2006

What Google Can't Teach Us About Ipo Auctions (And What It Can), A. Christine Hurt

Faculty Scholarship

No abstract provided.


Monitoring A Game Of Winks, Nods, And Risk: Derivatives Regulation In The E.U. And Poland, Robert F. Schwartz May 2006

Monitoring A Game Of Winks, Nods, And Risk: Derivatives Regulation In The E.U. And Poland, Robert F. Schwartz

Brigham Young University International Law & Management Review

No abstract provided.


Moral Hazard And The Initial Public Offering, A. Christine Hurt Dec 2005

Moral Hazard And The Initial Public Offering, A. Christine Hurt

Faculty Scholarship

No abstract provided.


Suitability Claims And Unrecommended Securities Purchases: An Agency Theory Of Broker-Dealer Liability, Frederick Mark Gedicks Jan 2005

Suitability Claims And Unrecommended Securities Purchases: An Agency Theory Of Broker-Dealer Liability, Frederick Mark Gedicks

Faculty Scholarship

It is well-established that full-service broker-dealers have an obligation to recommend to their customers only the purchase of securities that are "suitable" to the customer's investment objectives and financial situation. There seems to be widespread agreement, however, that a broker-dealer cannot incur liability on suitability grounds unless it first recommends a securities purchase to a customer.

Accordingly, discount broker-dealers argue they are necessarily immune from liability on suitability claims because they act as "order clerks" who merely execute unsolicited customer orders; online discounters have adopted the same position. Full-service broker-dealers similarly argue that although they owe a suitability obligation ...


The Plight Of The Private Securities Litigation Reform Act In The Post-Enron Era: The Ninth Circuit's Interpretation Of Materiality In Employer-Teamster V. America West, Patrick Hall May 2004

The Plight Of The Private Securities Litigation Reform Act In The Post-Enron Era: The Ninth Circuit's Interpretation Of Materiality In Employer-Teamster V. America West, Patrick Hall

BYU Law Review

No abstract provided.


Counselor, Gatekeeper, Shareholder, Thief: Why Attorneys Who Invest In Their Clients In A Post-Enron World Are "Selling Out," Not "Buying In,", A. Christine Hurt Dec 2003

Counselor, Gatekeeper, Shareholder, Thief: Why Attorneys Who Invest In Their Clients In A Post-Enron World Are "Selling Out," Not "Buying In,", A. Christine Hurt

Faculty Scholarship

No abstract provided.


Reforming Securities Class Actions From The Bench: Judging Fiduciaries And Fiduciary Judging, Lisa L. Casey Nov 2003

Reforming Securities Class Actions From The Bench: Judging Fiduciaries And Fiduciary Judging, Lisa L. Casey

BYU Law Review

No abstract provided.


Determining The Materiality Of Earnings Forecasts Under The Private Securities Litigation Reform Act In Helwig V. Vencor, Hugh Beck Mar 2002

Determining The Materiality Of Earnings Forecasts Under The Private Securities Litigation Reform Act In Helwig V. Vencor, Hugh Beck

BYU Law Review

No abstract provided.


Liability Of Broker-Dealers For Unsuitable Recommendations To Institutional Investors, Norman S. Poser Nov 2001

Liability Of Broker-Dealers For Unsuitable Recommendations To Institutional Investors, Norman S. Poser

BYU Law Review

No abstract provided.


Hertzberg V. Dignity Partners, Inc.: Standing To Sue Under Section 11 Of The Securities Act Of 1933; Reflections On Gustafson, James E. Shapiro May 2000

Hertzberg V. Dignity Partners, Inc.: Standing To Sue Under Section 11 Of The Securities Act Of 1933; Reflections On Gustafson, James E. Shapiro

Brigham Young University Journal of Public Law

No abstract provided.


United States V. O'Hagan: Recognition Of The Misappropriation Theory, Brian W. Morgan May 1998

United States V. O'Hagan: Recognition Of The Misappropriation Theory, Brian W. Morgan

Brigham Young University Journal of Public Law

No abstract provided.


There Should Be No Reliance In The "Blue Sky", David O. Blood Mar 1998

There Should Be No Reliance In The "Blue Sky", David O. Blood

BYU Law Review

No abstract provided.


United States U. O'Hagan: 'L'He Eighth Circuit Throws The Second Strike To The Misappropriation Theory Of Rule 10b-5 Liability, Shawn J. Lindquist Mar 1997

United States U. O'Hagan: 'L'He Eighth Circuit Throws The Second Strike To The Misappropriation Theory Of Rule 10b-5 Liability, Shawn J. Lindquist

BYU Law Review

No abstract provided.


Central Bank V. First Interstate Bank: Plain Language And The Implied Private Right Of Action Under Section Loch) And Rule 10b-5, T. James Lee Jr. Mar 1995

Central Bank V. First Interstate Bank: Plain Language And The Implied Private Right Of Action Under Section Loch) And Rule 10b-5, T. James Lee Jr.

BYU Law Review

No abstract provided.


The Business Judgment Rule: How Much Board Deliberation Is Enough When A Board Is Under Time Constraints?-Citron V. Fairchild Camera And Instrument Corp., Jeffrey M. Moss Sep 1991

The Business Judgment Rule: How Much Board Deliberation Is Enough When A Board Is Under Time Constraints?-Citron V. Fairchild Camera And Instrument Corp., Jeffrey M. Moss

BYU Law Review

No abstract provided.


The Eec Merger Regulation And Its Impact On Non-Eec Businesses, Alec Burnside, Carl Meyntjens False Nov 1990

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 Nov 1990

Company Law In The European Single Market, Richard D. English

BYU 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 Mar 1990

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.


Corporate Scienter Under The Securities Exchange Act Of 1934, Craig L. Griffin Nov 1989

Corporate Scienter Under The Securities Exchange Act Of 1934, Craig L. Griffin

BYU Law Review

No abstract provided.