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Full-Text Articles in Securities Law
Protecting Whistleblowing (And Not Just Whistleblowers), Evan J. Ballan
Protecting Whistleblowing (And Not Just Whistleblowers), Evan J. Ballan
Michigan Law Review
When the government contracts with private parties, the risk of fraud runs high. Fraud against the government hurts everyone: taxpayer money is wasted on inferior or nonexistent products and services, and the public bears the burdens attendant to those inadequate goods. To combat fraud, Congress has developed several statutory frameworks to encourage whistleblowers to come forward and report wrongdoing in exchange for a monetary reward. The federal False Claims Act allows whistleblowers to file an action in federal court on behalf of the United States, and to share in any recovery. Under the Dodd- Frank Act, the SEC Office of …
The Corporate Monitor: The New Corporate Czar?, Vikramaditya Khanna, Timothy L. Dickinson
The Corporate Monitor: The New Corporate Czar?, Vikramaditya Khanna, Timothy L. Dickinson
Michigan Law Review
Following the recent spate of corporate scandals, government enforcement authorities have increasingly relied upon corporate monitors to help ensure law compliance and reduce the number of future violations. These monitors also permit enforcement authorities, such as the Securities & Exchange Commission and others, to leverage their enforcement resources in overseeing corporate behavior. However there are few descriptive or normative analyses of the role and scope of corporate monitors. This paper provides such an analysis. After sketching out the historical development of corporate monitors, the paper examines the most common features of the current set of monitor appointments supplemented by interviews …
The Obsolescence Of Wall Street: A Contextual Approach To The Evolving Structure Of Federal Securities Regulation, Joel Seligman
The Obsolescence Of Wall Street: A Contextual Approach To The Evolving Structure Of Federal Securities Regulation, Joel Seligman
Michigan Law Review
As a matter of analytical style, this article illustrates a contextualist approach. For a considerable period of time, the dominant analytical style in corporate and securities .law has been a variant of economic, or law and economics, analysis. The virtue of this type of analysis is that it focuses on what its authors deem to be crucial variables and reaches conclusions derived from the core of a specific legal problem. The defect of this type of analysis is that so much is assumed or often assumed away.
Materiality, Law Reform, And Regulation By Prosecution, Michael Rosenzweig
Materiality, Law Reform, And Regulation By Prosecution, Michael Rosenzweig
Michigan Law Review
A Review of Regulation by Prosecution: The Securities & Exchange Commission Versus Corporate America by Roberta S. Karmel
The Sec And Corporate Disclosure: Regulation In Search Of A Purpose, Michigan Law Review
The Sec And Corporate Disclosure: Regulation In Search Of A Purpose, Michigan Law Review
Michigan Law Review
A Book Notice about The SEC and Corporate Disclosure: Regulation in Search of a Purpose by Homer Kripke
Controlling Administrative Sanctions, Fredrich H. Thomforde Jr.
Controlling Administrative Sanctions, Fredrich H. Thomforde Jr.
Michigan Law Review
This Article will consider some of the possibilities for controlling and guiding the SEC's discretion to impose sanctions upon broker-dealers. Although it is limited to an examination of the Commission's practice and a discussion of possibilities for reform, the analysis contains obvious implications for any agency with the power to impose sanctions.
Competition And Regulation In The Stock Markets, Robert Pozen
Competition And Regulation In The Stock Markets, Robert Pozen
Michigan Law Review
Part I of this article suggests that the courts have not satisfactorily resolved the tension between competition and regulation in the stock markets, and that the proposed legislation would in fact aggravate that tension. Part II uses an economic model of stock transactions to derive an alternative approach for reconciling competitive and regulatory considerations. Part III applies this approach to several key governmental decisions in the transition from fixed commission rates to the central market system.