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Securities Law Commons

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Articles 1 - 30 of 68

Full-Text Articles in Securities Law

Shareholder Proposals And The Limits Of Encrypted Interpretations, J. Robert Brown Jr. Jun 2018

Shareholder Proposals And The Limits Of Encrypted Interpretations, J. Robert Brown Jr.

Villanova Law Review

No abstract provided.


A Private Ordering Defense Of A Company's Right To Use Dual Class Share Structures In Ipos, Bernard S. Sharfman Jun 2018

A Private Ordering Defense Of A Company's Right To Use Dual Class Share Structures In Ipos, Bernard S. Sharfman

Villanova Law Review

No abstract provided.


Are Disclosures Really Standardized? An Empirical Analysis, Uri Benoliel May 2017

Are Disclosures Really Standardized? An Empirical Analysis, Uri Benoliel

Villanova Law Review

No abstract provided.


Sec In-House Tribunals: A Call For Reform, Drew Thornley, Justin Blount May 2017

Sec In-House Tribunals: A Call For Reform, Drew Thornley, Justin Blount

Villanova Law Review

No abstract provided.


Arbitration Agreement Arbitrage?: Statutory Discrepancy Leads To Third Circuit Victory For Dodd-Frank Whistleblower Defendants In Khazin V. Td Ameritrade Holding Corp., John K. Lisman Dec 2015

Arbitration Agreement Arbitrage?: Statutory Discrepancy Leads To Third Circuit Victory For Dodd-Frank Whistleblower Defendants In Khazin V. Td Ameritrade Holding Corp., John K. Lisman

Villanova Law Review

No abstract provided.


Halliburton, Basic, And Fraud On The Market: The Need For A New Paradigm, Charles W. Murdock Sep 2015

Halliburton, Basic, And Fraud On The Market: The Need For A New Paradigm, Charles W. Murdock

Villanova Law Review

No abstract provided.


Who Owns A Class Action?, Richard A. Booth May 2014

Who Owns A Class Action?, Richard A. Booth

Villanova Law Review

This Essay considers the potential implications for securities class actions of Standard Fire Insurance Co. v. Knowles, which is presently before the Supreme Court. Although the ultimate question in Knowles is whether the plaintiff class may be gerrymandered so as to avoid removal to federal court, a closely related question may arise in securities fraud class actions (which are filed in federal court in the first place). In an action under SEC Rule 10b-5, the plaintiff typically seeks to recover for losses suffered as a result of buying a stock at a price inflated by management misrepresentations. In such a ...


Please Be Delicate With My Permanent Record: The Pendulum Inches Towards Absolute Privilege In Merkam V. Wachovia, Joseph W. Catuzzi Mar 2013

Please Be Delicate With My Permanent Record: The Pendulum Inches Towards Absolute Privilege In Merkam V. Wachovia, Joseph W. Catuzzi

Villanova Law Review

No abstract provided.


Bright-Line Rules And Inefficient Markets: The Third Circuit's 10b-5 Materiality Doctrine Is Ripe For Revision, Brian J. Boyle Jan 2012

Bright-Line Rules And Inefficient Markets: The Third Circuit's 10b-5 Materiality Doctrine Is Ripe For Revision, Brian J. Boyle

Villanova Law Review

No abstract provided.


Whoops - The Imminent Reconciliation Of U.S. Securities Laws With International Comity After Morrison V. National Australia Bank And The Drafting Error In The Dodd-Frank Act, Andrew Rocks Jan 2011

Whoops - The Imminent Reconciliation Of U.S. Securities Laws With International Comity After Morrison V. National Australia Bank And The Drafting Error In The Dodd-Frank Act, Andrew Rocks

Villanova Law Review

The article contends that the Dodd-Frank Act and the case, Morrison v. National Australia Bank, restrict the extraterritorial reach of U.S. fraud laws to private rights of action involving domestic transactions of U.S. securities. The author notes that the U.S. legal jurisdiction is governed by the policy of minimal interference and respect for sovereignties and by the principle of comity. He states that this position will help establish a cooperative regulatory effort across global markets.


Voting Power Without Responsibility Or Risk: How Should Proxy Reform Address The Decoupling Of Economic And Voting Rights, Roberta S. Karmel Jan 2010

Voting Power Without Responsibility Or Risk: How Should Proxy Reform Address The Decoupling Of Economic And Voting Rights, Roberta S. Karmel

Villanova Law Review

No abstract provided.


Reframing And Reforming The Securities And Exchange Commission: Lessons From Literature On Change Leadership, Joan Mcleod Heminway Jan 2010

Reframing And Reforming The Securities And Exchange Commission: Lessons From Literature On Change Leadership, Joan Mcleod Heminway

Villanova Law Review

The article discusses the lessons learned from the restructuring of the U.S. Securities and Exchange Commission (SEC) under the Sarbanes-Oxley Act. The strengths and weakness of the SEC reform measures are highlighted. Key reform proposals stemming from the global financial crisis and reform efforts being undertaken as of the spring of 2010 include overhauling or abolishing the SEC, managing the SEC through the Federal Reserve or the Department of the Treasury, and combining the SEC with the Commodity Futures Trading Commission (CFTC).


Fiduciary Obligations Of Broker-Dealers And Investment Advisers, Arthur B. Laby Jan 2010

Fiduciary Obligations Of Broker-Dealers And Investment Advisers, Arthur B. Laby

Villanova Law Review

The article discusses fiduciary obligation that broker-dealers and investment advisers owe their clients. It addresses questions in ascertaining whether financial reform is needed. The fiduciary obligations imposed on brokers and advisers are examined. An analysis of whether fiduciary duties should be imposed on brokers providing advice is offered.


One Nation, Under Securities Fraud: The Third Circuit Notches A Win For Federalism In In Re Lord Abbett Mutual Funds Fee Litigation, Ethan H. Townsend Jan 2010

One Nation, Under Securities Fraud: The Third Circuit Notches A Win For Federalism In In Re Lord Abbett Mutual Funds Fee Litigation, Ethan H. Townsend

Villanova Law Review

No abstract provided.


Moving Beyond The Clamor For Hedge Fund Regulation: A Reconsideration Of Client Under The Investment Advisers Act Of 1940, Anita K. Krug Jan 2010

Moving Beyond The Clamor For Hedge Fund Regulation: A Reconsideration Of Client Under The Investment Advisers Act Of 1940, Anita K. Krug

Villanova Law Review

The article argues that a better approach for hedge fund regulation in the U.S. would be for law to regard private fund investors as clients of the managers of those funds. It discusses the regulatory regime governing investment advisers. The Investment Advisers Act of 1940 is tasked to regulate investment advisers and to require some investment advisers to be registered with the Securities and Exchange Commission (SEC).


How Can It Be Wrong When It Feels So Right - Appellate Review Of Remand Orders Under The Securities Litigation Uniform Standards Act, Thomas F. Lamprecht Jan 2005

How Can It Be Wrong When It Feels So Right - Appellate Review Of Remand Orders Under The Securities Litigation Uniform Standards Act, Thomas F. Lamprecht

Villanova Law Review

No abstract provided.


Making It Easier To Milk The Cow: The Southern District Of New York Collapses The Culpable Participation Doctrine And Sidesteps The Private Securities Litigation Reform Act, Matthew W. Goulding Jan 2004

Making It Easier To Milk The Cow: The Southern District Of New York Collapses The Culpable Participation Doctrine And Sidesteps The Private Securities Litigation Reform Act, Matthew W. Goulding

Villanova Law Review

No abstract provided.


Lawyers In The Moral Maze, Mark A. Sargent Jan 2004

Lawyers In The Moral Maze, Mark A. Sargent

Villanova Law Review

No abstract provided.


Sec Enforcement Of Attorney Up-The-Ladder Reporting Rules: An Analysis Of Institutional Constraints, Norms And Biases, Michael A. Perino Jan 2004

Sec Enforcement Of Attorney Up-The-Ladder Reporting Rules: An Analysis Of Institutional Constraints, Norms And Biases, Michael A. Perino

Villanova Law Review

No abstract provided.


Sarbanes-Oxley 307: Trusted Counselors Or Informers, M. Peter Moser, Stanley Keller Jan 2004

Sarbanes-Oxley 307: Trusted Counselors Or Informers, M. Peter Moser, Stanley Keller

Villanova Law Review

No abstract provided.


Legal And Ethical Duties Of Lawyers After Sarbanes-Oxley, Roger C. Cramton, George M. Cohen, Susan P. Koniak Jan 2004

Legal And Ethical Duties Of Lawyers After Sarbanes-Oxley, Roger C. Cramton, George M. Cohen, Susan P. Koniak

Villanova Law Review

No abstract provided.


Enron, Sarbanes-Oxley And Accounting: Rules Versus Principles Versus Rents, William W. Bratton Jan 2003

Enron, Sarbanes-Oxley And Accounting: Rules Versus Principles Versus Rents, William W. Bratton

Villanova Law Review

No abstract provided.


Accounting Firm Or Guarantor - The Third Circuit's Answer To Rule 10b-5'S Scienter Requirement In Accountant Liability Cases, Julie A. Boncarosky Jan 2003

Accounting Firm Or Guarantor - The Third Circuit's Answer To Rule 10b-5'S Scienter Requirement In Accountant Liability Cases, Julie A. Boncarosky

Villanova Law Review

No abstract provided.


Misleading Employer Communications And The Securities Fraud Implications Of The Employee As Investor, Jennifer O'Hare Jan 2003

Misleading Employer Communications And The Securities Fraud Implications Of The Employee As Investor, Jennifer O'Hare

Villanova Law Review

No abstract provided.


And The Winner Is - Interpreting The Lead Plaintiff And The Lead Counsel Provisions Of The Private Securities Litigation Reform Act Of 1995, Ashe P. Puri Jan 2002

And The Winner Is - Interpreting The Lead Plaintiff And The Lead Counsel Provisions Of The Private Securities Litigation Reform Act Of 1995, Ashe P. Puri

Villanova Law Review

No abstract provided.


Semerenko V. Cendant Corp.: The Third Circuit Clarifies The Securities Exchange Commission's Rule 10b-5 In The Context Of Public Misrepresentations, Anna Mae Maloney Jan 2002

Semerenko V. Cendant Corp.: The Third Circuit Clarifies The Securities Exchange Commission's Rule 10b-5 In The Context Of Public Misrepresentations, Anna Mae Maloney

Villanova Law Review

No abstract provided.


Stock Market Insider Trading: Victims, Violators And Remedies - Including An Analogy To Fraud In The Sale Of A Used Car With A Generic Defect, William K.S. Wang Jan 2000

Stock Market Insider Trading: Victims, Violators And Remedies - Including An Analogy To Fraud In The Sale Of A Used Car With A Generic Defect, William K.S. Wang

Villanova Law Review

No abstract provided.


Risky Business: Htas, The Cash Forward Exclusion And Top Of Iowa Cooperative V. Schewe, Charles F. Reid Jan 1999

Risky Business: Htas, The Cash Forward Exclusion And Top Of Iowa Cooperative V. Schewe, Charles F. Reid

Villanova Law Review

No abstract provided.


Unregulated Investment In Certain Death: Sec V. Life Partners, Inc., Michael R. Davis Jan 1997

Unregulated Investment In Certain Death: Sec V. Life Partners, Inc., Michael R. Davis

Villanova Law Review

No abstract provided.


The United States Supreme Court Recognizes An Implied Right Of Contribution For Defendants In Rule 10b-5 Actions In Musick, Peeler & (And) Garrett V. Employers Insurance Of Wausau: A Judicial Oak Grows From The Sand, Nicholas Day Jan 1994

The United States Supreme Court Recognizes An Implied Right Of Contribution For Defendants In Rule 10b-5 Actions In Musick, Peeler & (And) Garrett V. Employers Insurance Of Wausau: A Judicial Oak Grows From The Sand, Nicholas Day

Villanova Law Review

No abstract provided.