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Articles 1 - 30 of 39
Full-Text Articles in Securities Law
You Don't Need Love . . . But It Helps: Insider Trading Law After Salman, Matthew J. Wilkins
You Don't Need Love . . . But It Helps: Insider Trading Law After Salman, Matthew J. Wilkins
Kentucky Law Journal
No abstract provided.
Improving Protections For Whistleblowers: Why Congressional And Agency Intent Helped Provide The Second Circuit With The Correct Answer Of Encouraging Reporting Of Securities Violations, Alison M. Zeitlin
Kentucky Law Journal
No abstract provided.
The Sec's Regulation A+: Small Business Goes Under The Bus Again, Rutheford B. Campbell Jr.
The Sec's Regulation A+: Small Business Goes Under The Bus Again, Rutheford B. Campbell Jr.
Kentucky Law Journal
Title IV of the JOBS Act, which is entitled "Small Company Capital Formation," requires the Securities and Exchange Commission to adopt new rules regarding offerings under Regulation A. The Commission has now adopted its final regulations implementing Title IV and providing a new regulatory regime for exempt offerings under Section 3(b) of the Securities Act of 1933. The new regime is generally referred to as Regulation A+.
Unfortunately, history and empirical data regarding the use of Regulation A and Regulation D strongly suggest that the final Regulation A+ rules are unlikely to provide any material relief for small businesses in …
Direct Private Placements, William K. Sjostrom Jr.
Direct Private Placements, William K. Sjostrom Jr.
Kentucky Law Journal
No abstract provided.
The Role Of The States In The Regulation Of Private Placements, Manning Gilbert Warren Iii
The Role Of The States In The Regulation Of Private Placements, Manning Gilbert Warren Iii
Kentucky Law Journal
No abstract provided.
Ipos And The Slow Death Of Section 5, Donald C. Langevoort, Robert B. Thompson
Ipos And The Slow Death Of Section 5, Donald C. Langevoort, Robert B. Thompson
Kentucky Law Journal
No abstract provided.
The Effect Of The Jobs Act On Underwriting Spreads, Usha Rodrigues
The Effect Of The Jobs Act On Underwriting Spreads, Usha Rodrigues
Kentucky Law Journal
No abstract provided.
Subprime Scriveners, Milan Markovic
Subprime Scriveners, Milan Markovic
Kentucky Law Journal
Although mortgage-backed securities ("MBS") and other financial products that nearly caused the collapse of the global financial system could not have been issued without attorneys, the legal profession's role in the financial crisis has received relatively little scrutiny.
This Article focuses on lawyers' preparation of MBS offering documents that misrepresented the lending practices of mortgage loan originators. While attorneys may not have known that many MBS would become toxic, they lacked incentives to inquire into the shoddy lending practices of prominent originators, such as Washington Mutual Bank ('WaMu"), when they and their clients were reaping considerable profits from MBS offerings. …
The New Regulation Of Small Business Capital Formation: The Impact - If Any - Of The Jobs Act, Rutheford B. Campbell Jr.
The New Regulation Of Small Business Capital Formation: The Impact - If Any - Of The Jobs Act, Rutheford B. Campbell Jr.
Kentucky Law Journal
No abstract provided.
Who Can't Raise Capital?: The Scylla And Charybdis Of Capital Formation, James D. Cox
Who Can't Raise Capital?: The Scylla And Charybdis Of Capital Formation, James D. Cox
Kentucky Law Journal
No abstract provided.
How Congress Killed Investment Crowdfunding: A Tale Of Political Pressure, Hasty Decisions, And Inexpert Judgments That Begs For A Happy Ending, Joan Macleod Heminway
How Congress Killed Investment Crowdfunding: A Tale Of Political Pressure, Hasty Decisions, And Inexpert Judgments That Begs For A Happy Ending, Joan Macleod Heminway
Kentucky Law Journal
No abstract provided.
When Is An Equity Participant Actually A Creditor? The Effects Of In Re Afi Holding On Ponzi Scheme Victims And The Good Faith Defense, James Butler Cash Jr.
When Is An Equity Participant Actually A Creditor? The Effects Of In Re Afi Holding On Ponzi Scheme Victims And The Good Faith Defense, James Butler Cash Jr.
Kentucky Law Journal
No abstract provided.
Extraterritorial Jurisdiction And U.S. Securities Law: Seeking Limits For Application Of The 10(B) And 10b-5 Antifraud Provisions, Brandy L. Fulkerson
Extraterritorial Jurisdiction And U.S. Securities Law: Seeking Limits For Application Of The 10(B) And 10b-5 Antifraud Provisions, Brandy L. Fulkerson
Kentucky Law Journal
No abstract provided.
Closing A Bankruptcy Loop-Hole Or Impairing A Debtor's Fresh Start? Sarbanes-Oxley Creates A New Exception To Discharge, Lucian Murley
Closing A Bankruptcy Loop-Hole Or Impairing A Debtor's Fresh Start? Sarbanes-Oxley Creates A New Exception To Discharge, Lucian Murley
Kentucky Law Journal
No abstract provided.
Indirect Causation: A Reminder From The Biblical Goring Ox Rule For Fraud On The Market Securities Litigation, Andrew R. Simmonds
Indirect Causation: A Reminder From The Biblical Goring Ox Rule For Fraud On The Market Securities Litigation, Andrew R. Simmonds
Kentucky Law Journal
No abstract provided.
"Bright Line," "Substantial Participation," Or Something Else: Who Is A Primary Violator Under Rule 10b-5?, Rodney D. Chrisman
"Bright Line," "Substantial Participation," Or Something Else: Who Is A Primary Violator Under Rule 10b-5?, Rodney D. Chrisman
Kentucky Law Journal
No abstract provided.
The Overwhelming Case For Elimination Of The Integration Doctrine Under The Securities Act Of 1933, Rutheford B. Campbell Jr.
The Overwhelming Case For Elimination Of The Integration Doctrine Under The Securities Act Of 1933, Rutheford B. Campbell Jr.
Kentucky Law Journal
No abstract provided.
Defining Suitability, Seth C. Anderson, Donald Arthur Winslow
Defining Suitability, Seth C. Anderson, Donald Arthur Winslow
Kentucky Law Journal
No abstract provided.
Dealing With Anomalies, Confusion And Contradiction In Fraud On The Market Securities Class Actions, Andrew R. Simmonds, Kenneth A. Sagat, Joshua Ronen
Dealing With Anomalies, Confusion And Contradiction In Fraud On The Market Securities Class Actions, Andrew R. Simmonds, Kenneth A. Sagat, Joshua Ronen
Kentucky Law Journal
No abstract provided.
From "Shoeless" Joe Jackson To Ivan Boesky: A Sporting Response To Law And Economics Criticism Of The Regulation Of Insider Trading, Donald Arthur Winslow, Seth C. Anderson
From "Shoeless" Joe Jackson To Ivan Boesky: A Sporting Response To Law And Economics Criticism Of The Regulation Of Insider Trading, Donald Arthur Winslow, Seth C. Anderson
Kentucky Law Journal
No abstract provided.
Ernst & Ernst V. Hochfelder As Applied To Commodities Fraud: No Intent Required, Harry B. Borders
Ernst & Ernst V. Hochfelder As Applied To Commodities Fraud: No Intent Required, Harry B. Borders
Kentucky Law Journal
No abstract provided.
Basic Inc. V. Levinson: The Supreme Court's Analysis Of Fraud On The Market And Its Impact On The Reliance Requirement Of Sec Rule 10b-5, R. Douglas Martin
Basic Inc. V. Levinson: The Supreme Court's Analysis Of Fraud On The Market And Its Impact On The Reliance Requirement Of Sec Rule 10b-5, R. Douglas Martin
Kentucky Law Journal
No abstract provided.
Cts Corp. V. Dynamics Corp. Of America: Of State Regulation, Tender Offers, And Necromancy, Brian S. West
Cts Corp. V. Dynamics Corp. Of America: Of State Regulation, Tender Offers, And Necromancy, Brian S. West
Kentucky Law Journal
No abstract provided.
Racing Syndicates As Securities, Rutheford B. Campbell Jr.
Racing Syndicates As Securities, Rutheford B. Campbell Jr.
Kentucky Law Journal
No abstract provided.
Horse Syndicates As Securities Under Blue Sky Laws, John Coleman Ayers
Horse Syndicates As Securities Under Blue Sky Laws, John Coleman Ayers
Kentucky Law Journal
No abstract provided.
Kefalas V. Bonnie Brae Farms: A Practical Approach To Thoroughbred Breeding Syndications And Securities Laws, Timothy Nicholas Sweeney
Kefalas V. Bonnie Brae Farms: A Practical Approach To Thoroughbred Breeding Syndications And Securities Laws, Timothy Nicholas Sweeney
Kentucky Law Journal
No abstract provided.
The Plight Of Small Issuers (And Others) Under Regulation D: Those Nagging Problems That Need Attention, Rutheford B. Campbell Jr.
The Plight Of Small Issuers (And Others) Under Regulation D: Those Nagging Problems That Need Attention, Rutheford B. Campbell Jr.
Kentucky Law Journal
No abstract provided.
Security Interests In Thoroughbred And Standardbred Horses: A Transactional Approach, R. David Lester
Security Interests In Thoroughbred And Standardbred Horses: A Transactional Approach, R. David Lester
Kentucky Law Journal
No abstract provided.
Stallion Syndicates As Securities, Rutheford B. Campbell Jr.
Stallion Syndicates As Securities, Rutheford B. Campbell Jr.
Kentucky Law Journal
No abstract provided.
Security Interests In Motor Vehicles: A Conflict In Kentucky Law, Henry Lawson
Security Interests In Motor Vehicles: A Conflict In Kentucky Law, Henry Lawson
Kentucky Law Journal
No abstract provided.