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Securities Law Commons

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Full-Text Articles in Securities Law

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 Jan 2017

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. Jan 2016

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 ...


Direct Private Placements, William K. Sjostrom Jr. Jan 2014

Direct Private Placements, William K. Sjostrom Jr.

Kentucky Law Journal

No abstract provided.


The Effect Of The Jobs Act On Underwriting Spreads, Usha Rodrigues Jan 2014

The Effect Of The Jobs Act On Underwriting Spreads, Usha Rodrigues

Kentucky Law Journal

No abstract provided.


Subprime Scriveners, Milan Markovic Jan 2014

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 ...


The Role Of The States In The Regulation Of Private Placements, Manning Gilbert Warren Iii Jan 2014

The Role Of The States In The Regulation Of Private Placements, Manning Gilbert Warren Iii

Kentucky Law Journal

No abstract provided.


The New Regulation Of Small Business Capital Formation: The Impact - If Any - Of The Jobs Act, Rutheford B. Campbell Jr. Jan 2014

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.


Ipos And The Slow Death Of Section 5, Donald C. Langevoort, Robert B. Thompson Jan 2014

Ipos And The Slow Death Of Section 5, Donald C. Langevoort, Robert B. Thompson

Kentucky Law Journal

No abstract provided.


Who Can't Raise Capital?: The Scylla And Charybdis Of Capital Formation, James D. Cox Jan 2013

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 Jan 2013

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. Jan 2009

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 Jan 2004

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 Jan 2003

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 Jan 2000

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 Jan 2000

"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. Jan 2000

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 Jan 1992

Defining Suitability, Seth C. Anderson, Donald Arthur Winslow

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 Jan 1992

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.


Dealing With Anomalies, Confusion And Contradiction In Fraud On The Market Securities Class Actions, Andrew R. Simmonds, Kenneth A. Sagat, Joshua Ronen Jan 1992

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.


Ernst & Ernst V. Hochfelder As Applied To Commodities Fraud: No Intent Required, Harry B. Borders Jan 1990

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 Jan 1989

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 Jan 1988

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. Jan 1986

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 Jan 1986

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 Jan 1986

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. Jan 1985

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.


Stallion Syndicates As Securities, Rutheford B. Campbell Jr. Jan 1982

Stallion Syndicates As Securities, Rutheford B. Campbell Jr.

Kentucky Law Journal

No abstract provided.


Security Interests In Thoroughbred And Standardbred Horses: A Transactional Approach, R. David Lester Jan 1982

Security Interests In Thoroughbred And Standardbred Horses: A Transactional Approach, R. David Lester

Kentucky Law Journal

No abstract provided.


Security Interests In Motor Vehicles: A Conflict In Kentucky Law, Henry Lawson Jan 1978

Security Interests In Motor Vehicles: A Conflict In Kentucky Law, Henry Lawson

Kentucky Law Journal

No abstract provided.


Equine Syndications: A Legal Overview, Ronald L. Gaffney Jan 1974

Equine Syndications: A Legal Overview, Ronald L. Gaffney

Kentucky Law Journal

No abstract provided.