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Full-Text Articles in Securities Law
The Emergence Of The Actively Managed Etf, Kevin S. Haeberle
The Emergence Of The Actively Managed Etf, Kevin S. Haeberle
Faculty Publications
Since the first exchange-traded fund began trading in 1993, the ETF form has attracted enormous investment flows. However, this triumph of the ETF has been overwhelmingly limited to the world of passive investment. Due to a mix of recent market innovation and regulatory change, this state of affairs is changing today. As I explain in this Article, there is much reason to believe that the actively managed ETF is now set to emerge as a significant feature of the investment landscape. And this emergence has important implications for, among others, the main parties that play key roles in protecting investors …
Sec Debarment Of Officers And Directors After Sarbanes-Oxley, Jayne W. Barnard
Sec Debarment Of Officers And Directors After Sarbanes-Oxley, Jayne W. Barnard
Faculty Publications
No abstract provided.
The Sec's Suspension And Bar Powers In Perspective, Jayne W. Barnard
The Sec's Suspension And Bar Powers In Perspective, Jayne W. Barnard
Faculty Publications
Enron has brought about demands from many quarters to grant the Securities and Exchange Commission (SEC) new powers. Among the powers the SEC now seeks is the power to bar or suspend securities law violators from serving as an oflicer or director of any public company. Currently, the law assigns this power only to federal district courts. In this Essay, Professor Barnard traces the history of the current law; examining why Congress has expressly withheld suspension and bar powers from the SEC. She then argues that the courts have exercised their suspension and bar powers wisely, and that recent developments …
Report Of The Task Force On Rule 102(E) Proceedings: Rule 102(E) Sanctions Against Accountants, Dixie L. Johnson, John H. Sturc, Kenneth B. Winer, Jayne W. Barnard, Evan J. Falchuk, Jeffrey T. Gilleran, Thomas Gorman, David B. Hardison, Gloria K. Niemi, Thomas L. Riesenberg
Report Of The Task Force On Rule 102(E) Proceedings: Rule 102(E) Sanctions Against Accountants, Dixie L. Johnson, John H. Sturc, Kenneth B. Winer, Jayne W. Barnard, Evan J. Falchuk, Jeffrey T. Gilleran, Thomas Gorman, David B. Hardison, Gloria K. Niemi, Thomas L. Riesenberg
Faculty Publications
No abstract provided.
Shareholder Access To The Proxy Revisited, Jayne W. Barnard
Shareholder Access To The Proxy Revisited, Jayne W. Barnard
Faculty Publications
No abstract provided.