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Securities Law Commons™

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Journal

2019

Discipline
Institution
Keyword
Publication

Articles 61 - 72 of 72

Full-Text Articles in Securities Law

Securities Regulation, George Lee Flint Jr. Jan 2019

Securities Regulation, George Lee Flint Jr.

SMU Annual Texas Survey

No abstract provided.

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Obtaining And Enforcing A Security Interest In Local Currency Under Article 9 Of The Ucc, Marina C. Leary Jan 2019

Obtaining And Enforcing A Security Interest In Local Currency Under Article 9 Of The Ucc, Marina C. Leary

University of Richmond Law Review

Community currency is known by many names including complementary currency, alternative currency, and parallel currency. Community currency operates alongside an official or national currency (e.g., dollars or euros) with the purpose of circulating within a small geographic area to facilitate the sale of goods and services. In other words, community currency refers to a privatized form of currency that is not backed by a government entity. With the increased use of community currency, it has the potential to serve as collateral for a security interest under the Article 9 of the Uniform Commercial Code. Although there are several types of …

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United States Supreme Court Surveys: 2017 Term: Digital Realty Trust V. Somers: Whistleblowers And Corporate Retaliation, Susan B. Heyman Jan 2019

United States Supreme Court Surveys: 2017 Term: Digital Realty Trust V. Somers: Whistleblowers And Corporate Retaliation, Susan B. Heyman

Roger Williams University Law Review

No abstract provided.

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Collaborative Approaches To Blockchain Regulation: The Brooklyn Project Example, Patrick Berarducci Jan 2019

Collaborative Approaches To Blockchain Regulation: The Brooklyn Project Example, Patrick Berarducci

Cleveland State Law Review

Today, I am going to discuss, at a high level, blockchain technology—what it is, what are its unique features that could revolutionize markets and economies, and how it could impact law and regulation. That is a lot to cover—far too much in the time allotted. So I will keep things at a very high level and hopefully pique some interest in everyone to dig deeper on their own.

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Regulating High-Frequency Trading: The Case For Individual Criminal Liability, Orlando Cosme Jr. Jan 2019

Regulating High-Frequency Trading: The Case For Individual Criminal Liability, Orlando Cosme Jr.

Journal of Criminal Law and Criminology

The popular imagination of securities trading is a chaotic, physical stock exchange—a busy floor with hurried traders yelling, “buy, buy, buy!” While this image is a Hollywood and media favorite, it is no longer accurate. In 2019, most securities trading is conducted electronically on digital markets. One type of trading strategy, high-frequency trading, utilizes algorithms, data centers, fiber optic cables, and supercomputers to obtain an edge in the market. High-frequency trading has leveraged advancements in technology to constitute over half of all trading volume in a given day. High-frequency trading, however, has come under scrutiny in recent years as it …

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Myth Of The Attorney Whistleblower, Carliss N. Chatman Jan 2019

Myth Of The Attorney Whistleblower, Carliss N. Chatman

SMU Law Review

Notwithstanding the political grandstanding and legal regimes put in place to prevent the next Enron, this article explores whether attorney whistleblower provisions provided in the Standards of Professional Con- duct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer and in the Model Rules of Professional Con- duct are effective. When faced with attorney involvement in Enron, Congress passed § 307 of the Sarbanes Oxley Act (Sarbanes), which required the Securities and Exchange Commission (SEC) to amend its standards governing the conduct of attorneys practicing before the SEC. In response, the SEC and the American …

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Smart Contracts In Traditional Contract Law, Or: The Law Of The Vending Machine, Jonathan Rohr Jan 2019

Smart Contracts In Traditional Contract Law, Or: The Law Of The Vending Machine, Jonathan Rohr

Cleveland State Law Review

Smart contracts are the new norm, yet state legislatures and courts have not developed set rules and answers to legal disputes that these contracts create. Is traditional contract law sufficient? Or should we create an entirely new legislative or common law scheme to deal with these disputes? The common law has proven to be successful in dealing with new technologies and contracts, particularly because of its flexibility. Although a major overhaul may be in the future, there are still solutions that we can find today with the current legal landscape given the state of contract law and its evolution over …

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Blockchain Symposium Introduction: Overview And Historical Introduction, Brian Ray Jan 2019

Blockchain Symposium Introduction: Overview And Historical Introduction, Brian Ray

Cleveland State Law Review

Imagine a world where human drivers can access on-demand micro-insurance contracts tailored to cover only the actual time spent driving. How about a secure, decentralized identity system that allows individuals to purchase a vehicle and obtain insurance without sharing unnecessary private information exposing it to cyber criminals? Take that a step further and consider a system of driverless cars that transact with autonomous gas stations and take payments directly from passengers. These are some of the fascinating applications that blockchain technology could enable. But these applications give rise to significant technical, social, and legal questions, all of which we explored …

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Boilerplate And The Impact Of Disclosure In Securities Dealmaking, Jeremy Mcclane Jan 2019

Boilerplate And The Impact Of Disclosure In Securities Dealmaking, Jeremy Mcclane

Vanderbilt Law Review

Capital markets dealmaking, like many kinds of business transactions, is built on a foundation of copied and recycled language what many call boilerplate. Regulators and the bar periodically call for less reliance on boilerplate, but despite these pressures, boilerplate remains a fixture of ever-growing securities disclosures. This Article explores why boilerplate persists and how it affects investors, showing that boilerplate may have a more complex role than commonly recognized. This Article does so by developing a theory on the effect of boilerplate in securities disclosure-a context that is little studied despite a wealth of literature on boilerplate in other settings--and …

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Modern Day Bucket Shops? Fantasy Sports And Illegal Exchanges, John T. Holden, Ryan Rodenberg Jan 2019

Modern Day Bucket Shops? Fantasy Sports And Illegal Exchanges, John T. Holden, Ryan Rodenberg

Texas A&M Law Review

The rapid emergence of online daily fantasy sports has raised questions as to why the contests are allowed, while other forms of gambling are restricted. Historically, “bucket shops” were banned enterprises where businesses would effectively accept wagers on whether companies’ stock prices would go up or down. There was never an underlying investment in companies themselves, only a deposit into a “bucket.” While bucket shops have largely faded, we examine whether they have disappeared in name only. Our analysis opens up another avenue for regulators beyond the antiquated skill-versus-chance evaluation typically applied to gambling activities and suggests that certain fantasy …

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The Eu’S Struggles With Collective Action For Securities Fraud: An American Perspective, Dan Morrissey Jan 2019

The Eu’S Struggles With Collective Action For Securities Fraud: An American Perspective, Dan Morrissey

Texas A&M Law Review

Notwithstanding the apparent exit of the United Kingdom, the European Union (“EU”) has grown in membership and power since its modest beginnings after World War II, now rivaling the U.S. in economic strength. With the goal of promoting the security and prosperity of all the citizens of the countries that belong to it, the EU is pressing ahead to adopt laws that will promote their political and financial integration. Along those lines, it has also recently acknowledged a deficiency in the legal systems of its member states when it comes to allowing collective actions for victims of various types of …

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Unintended Consequences, Loopholes, And Gibberish: Why There Are Still Securities Act Class Actions In State Courts, Brian Elzweig Jan 2019

Unintended Consequences, Loopholes, And Gibberish: Why There Are Still Securities Act Class Actions In State Courts, Brian Elzweig

Texas A&M Law Review

This Article examines Congress’s decades-long attempt to ensure that securities class action lawsuits of national importance are litigated in federal courts. The intent is limiting strike suits. Congress attempted to curtail strike suits through the enactment of the Private Securities Litigation Reform Act (“PSLRA”). The PSLRA required heightened pleading requirements to ensure the validity of federal securities class actions. Instead of solving the dilemma, plaintiffs circumvented the PSLRA by bringing fraud cases as state law claims. To combat the circumvention of the PSLRA, Congress enacted the Securities Litigation Uniform Standards Act (“SLUSA”). SLUSA federally preempted state law claims based on …

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