Open Access. Powered by Scholars. Published by Universities.®
- Discipline
- Keyword
-
- Aid (1)
- Big data; Securities and Exchange Commission; SEC; securities law; securities regulation; geo-location; data mine; alternative data; information technology; IT; Investment Advisers Act; Securities Exchange Act; Elon Musk; Tesla; Puerto Rico; capital; assets under management; AUM; Department of Justice; DOJ; Rule 10b5; material (1)
- Estonia; blockchain; corporate governance; shareholders; New York; Delaware; cyber security; voting; government services; E-Estonia; encryption; Nasdaq; e-Residency; proxy; annual meeting; securities; ledger; permissioned; unpermissioned; tokens; vote coins; wallet; corporation laws; board of directors; Depository Trust Company; DTC; 14a-13; Exchange Act; NOBO; SEC; derivative; shareholder activism; Procter & Gamble; Nelson Peltz (1)
- Family Farmer Relief Act; bankruptcy; Chapter 12; farmer; debt limit; Small Business Reorganization Act; Subchapter V; liquidation; reorganization; Small Business Debtor Reorganization; Chapter 11; American Bankruptcy Institute; National Bankruptcy Conference; Bankruptcy Clause; debtor; creditor; borrower; lender; Bankruptcy Abuse Prevention and Consumer Protection Act; BAPCPA; trustee; absolute priority rule; creditor's committees; single asset real estate; secured; unsecured; Securities Exchange Act of 1934; Farm Bureau; National Farmers Union; American Bankers Association; Coronavirus (1)
- Inc.; broker-dealer; investment adviser; SEC v. Maynew; United States v. Libera; Business Insier; form 8-k; duty; breach; misappropriation theory; SEC v. Dorozkho; In re Marwood Group Research (1)
-
- L.P.; Compliance; Diligence; research firm; conduct; network; regulaton fair disclosure; Regulation FD; SEC v. Steffes; (1)
- LLC; Chief Compliance Officer; CCO; In re Deerfield Management Company (1)
- Non-public infomration; MNPI; materiality; SEC v. Huang; credit card; investor; nonpublic information; In re Certain Trading in the Common Stock of Faberge (1)
- Relief and Economic Security Act; CARES Act (1)
- Scammers; fraud; phone calls; scam calls; Securities Law; SHAKEN/STIR; personal information; Telephone Consumer Protection Act; TCPA; Federal Trade Commission; FTC; National Do Not Call Registry; Voice over IP; VoIP; Internet Protocol; robocalls; spoofing; Federal Communications Commission; FCC; caller ID; Truth in Caller ID Act; telecommunication; T-Mobile; Verizon; Sprint; AT&T; Scam ID; Scam Block; Call Filter; telemarketers; robocalls; Bolstering Online Transparency Act; BOT Act; Stopping Bad Robocalls Act; SBR; Internet Service Providers; ISPs; spam; Telephone Robocall Abuse Criminal Enforcement and Deterrence Act; TRACED Act; digital signature; Subscriber Identification Module (1)
- Securities exchange commission; SEC; DOJ; Department of Justice; cryptocurrency; enforcement; investors; ponzi scheme; prosecution; defendant; section 5(a); Section 5(c); Securities Act of 1933; Facebook; Libra; banking; bitcoin; Federal Trade Commission; FTC; Department of the Treasury; dark web; futures; CME Group; Intercontinental exchange; New York Stock Exchange; blockchain; Warren Buffet; United States v. Ulbricht; Silk Road; Dread Pirate Roberts; Internal Revenue Service; Securities and Exchange Commission; SEC; Initial Coin Offerings; ICO; SEC v. W.J. Howey Co.; Howey test; Jump-Start Our Business Startups Act; JOBS Act; penny stocks; SEC v. Blockvest LLC; Blockchain Exchange Commission; United States v. McDonnell; wire fraud; SEC v. Natural Diamonds Investment Co.; mining; United States v. Fowler; DAO Report; Ether; Securities and Exchange Act of 1934; FBI; U.S. Attorney; Section 17(a); Section 10(b); Titanium Blockchain; Exchange Traded Fund; ETF; Regulation A+; foreign issuer; Division of Corporate Finance; bad actor; Rule 262; Winklevoss; Coinbase; Financial Action Task Force; FATF; FINRA; Financial Industry Regulatory Authority; SRO; self-regulatory organization (1)
- Trian Fund Management; In Re Dole Food Company; single-step merger; Delaware Blockchain Initiative; UCC; Ethereum; BitLicense; virtual currency; New York Stock Exchange; (1)
Articles 1 - 5 of 5
Full-Text Articles in Securities Law
Alternative Data And Insider Trading: Are Investment Managers Assleep At The Wheel On Big Data Use?, William Montemarano
Alternative Data And Insider Trading: Are Investment Managers Assleep At The Wheel On Big Data Use?, William Montemarano
Brooklyn Journal of Corporate, Financial & Commercial Law
The rapid rise of “big data” has transformed the way that professional investors make investment decisions. In addition, the intersection of the United States federal securities laws and the use of “big data” to inform securities trading lies in uncharted waters. The nuanced and factually-dependent securities laws are far behind industry practices, and the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) have remained largely silent on the issue to date. This Note argues that this combination of murky laws and rapidly evolving business practices gives rise to legal and regulatory risk, and that investment managers leveraging …
A Taxonomy Of Cryptocurrency Enforcement Actions, Peter J. Henning
A Taxonomy Of Cryptocurrency Enforcement Actions, Peter J. Henning
Brooklyn Journal of Corporate, Financial & Commercial Law
This article looks at how the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) have pursued cases involving cryptocurrencies. A number of prosecutions have been brought against defendants who misled investors into believing that they were obtaining cryptocurrencies when in fact there were simply false statements and schemes to defraud, such as Ponzi schemes. When a company has attempted to issue a cryptocurrency to investors, the SEC has relied on Section 5(a) and 5(c) of the Securities Act of 1933 to require that issuers file a registration statement with the Commission. This is not an easy process …
“Estonia’S Gift To The World”: The Implementation Of A Blockchain Protocol For Corporate Governance In New York, Sydney Lauren Abualy
“Estonia’S Gift To The World”: The Implementation Of A Blockchain Protocol For Corporate Governance In New York, Sydney Lauren Abualy
Brooklyn Journal of Corporate, Financial & Commercial Law
The traditional procedures of corporate governance are not designed to resolve issues related to close outcomes of corporate votes, empty voting practices, the proxy voting protocol, verification of shareholder identities, and access to corporate records. Blockchain technology allows all corporate shareholders to participate in corporate governance more conveniently, with increased transparency, on a secure network. Estonia sought to revolutionize corporate governance by facilitating the development of a blockchain based e-voting protocol for shareholders of companies listed on the Tallinn Stock Exchange to vote in shareholder meetings. After unsuccessful attempts, New York stands well behind other states, such as Delaware, in …
Revising The Debt Limit For “Small Business Debtors”: The Legislative Half-Measure Of The Small Business Reorganization Act, Michael C. Blackmon
Revising The Debt Limit For “Small Business Debtors”: The Legislative Half-Measure Of The Small Business Reorganization Act, Michael C. Blackmon
Brooklyn Journal of Corporate, Financial & Commercial Law
Bankruptcy law changed drastically in 2019 with the passage of several bills. This Note will examine two of them. First, the Family Farmer Relief Act of 2019 raised the debt limit of the family farmer from $4,411,400 to $10,000,000. This enables more financially distressed family farmers to be eligible for Chapter 12 relief, a reorganizational tool designed for farmers. Second, the Small Business Reorganization Act of 2019 created Subchapter V – Small Business Debtor Reorganization in Chapter 11. This new Subchapter streamlined the reorganization process for small business debtors by removing roadblocks which often derail a reorganization of a small …
Unmasking The Villain: Exposing Scammers’ Identities To Defeat Harmful Calls, Katherine Teng
Unmasking The Villain: Exposing Scammers’ Identities To Defeat Harmful Calls, Katherine Teng
Brooklyn Journal of Corporate, Financial & Commercial Law
Since 1991, Congress has attempted to limit unwanted phone calls through legislative efforts. However, past and current laws remain ineffective as scam call complaints continue to increase while the harm of these calls remains severe. Currently, the laws affecting telecommunication regulation focus on reactive measures rather than preventative solutions. Most recently, Congress has passed the Telephone Robocall Abuse Criminal Enforcement and Deterrence Act, which will require telecommunication companies to implement SHAKEN/STIR technology to end scam calls before they reach consumers. While this is the most progressive legislation addressing scam calls, this Note will suggest that phone numbers be registered to …