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Articles 31 - 60 of 245
Full-Text Articles in Securities Law
Gambling On Our Financial Future: How The Federal Government Fiddles While State Common Law Is A Safer Bet To Prevent Another Financial Collapse, Brian M. Mccall
Gambling On Our Financial Future: How The Federal Government Fiddles While State Common Law Is A Safer Bet To Prevent Another Financial Collapse, Brian M. Mccall
Brian M McCall
Re-Envisioning The Controlling Shareholder Regime: Why Controlling Shareholders And Minority Shareholders Embrace Each Other, Sang Yop Kang
Re-Envisioning The Controlling Shareholder Regime: Why Controlling Shareholders And Minority Shareholders Embrace Each Other, Sang Yop Kang
Sang Yop Kang
According to conventional corporate governance scholarship, controlling shareholder regimes exist in jurisdictions where minority shareholders are not well protected by controlling shareholders’ expropriation. However, Professor Ronald Gilson raises a critical point against the conventional view; if laws are inefficient and do not protect investors, as the conventional view explains, why do we observe any minority shareholders at all in such “bad-law” countries? One possible reason is that in response to controlling shareholders’ expropriation, minority shareholders discount severely shares that corporations issue. Then, a related question is: if it is true, why do some controlling shareholders in bad-law countries have many …
Present At The Creation: Reflections On The Early Years Of The National Association Of Corporate Directors, Lawrence J. Trautman
Present At The Creation: Reflections On The Early Years Of The National Association Of Corporate Directors, Lawrence J. Trautman
Lawrence J. Trautman Sr.
Effective corporate governance is critical to the productive operation of the global economy and preservation of our way of life. Excellent governance execution is also required to achieve economic growth and robust job creation in any country. In the United States, the premier director membership organization is the National Association of Corporate Directors (NACD). Now over 36 years old, NACD plays a major role in fostering excellence in corporate governance in the United States and beyond. Over the past thirty-six years NACD has grown from a mere realization of the importance of corporate governance to become the only national membership …
Liquid Assets: A Coasian Economic Analysis Of Oregon's Allocation Of Conserved Water Program, Richard A. Grisel
Liquid Assets: A Coasian Economic Analysis Of Oregon's Allocation Of Conserved Water Program, Richard A. Grisel
Richard A Grisel
Diversions for residential, agricultural, recreational, commercial, industrial, and other beneficial uses have had the effect of removing water from rivers and tributaries throughout the western U.S. Another, more recent, competing use is ecological, demonstrated by the legal recognition of instream beneficial uses in some jurisdictions. As awareness of the progressively acute need for reallocation has increased in the arid West, so has interest in water markets and other mechanisms to facilitate transfers across beneficial uses. However, governments and water users face a legacy prior appropriation system that prohibits instream beneficial uses, encourages maximal diversion, stifles water right fungibility, and generally …
Rise Of The Intercontinentalexchange And Implications Of Its Merger With Nyse Euronext, Latoya C. Brown
Rise Of The Intercontinentalexchange And Implications Of Its Merger With Nyse Euronext, Latoya C. Brown
Latoya C. Brown, Esq.
This paper examines the impending merger between the IntercontinentalExchange (ICE) and NYSE Euronext against the backdrop of the current structure of the global financial services industry. The paper concludes that the merger embodies what the financial services industry is becoming and captures the model that will allow exchanges to remain competitive in today’s marketplace: mega-exchanges with broader asset classes and electronic platforms. As technology and globalization threaten their vitality, exchanges will need to continue reinventing and adapting. Increasingly over the last decade they have done so by merging and by moving, at least a part of, their operations on screen. …
The Regulation Of U.S. Money Market Funds: Lessons From Europe, Latoya C. Brown
The Regulation Of U.S. Money Market Funds: Lessons From Europe, Latoya C. Brown
Latoya C. Brown, Esq.
The recent financial crisis challenged long held perceptions of money market funds (“MMFs”) as stable and highly liquid instruments. Regulators in the US and in Europe now seek to impose additional rules on MMFs to avoid another significant failure as happened to the Reserve Fund. In the US, the debate is drawing even more media attention as question of which regulatory body - such as the Securities and Exchange Commission, the Treasury Department, and the Financial Stability Oversight Council – should lead the way has taken interesting twists and turns. This paper examines primary reform options being proposed in the …
Capitalización De Intereses Y Cierre De La Cuenta Corriente Bancaria, Martin Paolantonio
Capitalización De Intereses Y Cierre De La Cuenta Corriente Bancaria, Martin Paolantonio
Martin Paolantonio
Se analiza la cuestión a propósito de un caso que llegó incluso a la Corte Suprema de Justicia de la Nación. Esencialmente, el tema pasa por la interpretación de la norma que autoriza la capitalización de intereses, sin una referencia expresa a su vigencia luego del cierre de la cuenta corriente bancaria.
Gaming The System: Bio-Economics, Game Theory, & Fisheries Management, Richard A. Grisel
Gaming The System: Bio-Economics, Game Theory, & Fisheries Management, Richard A. Grisel
Richard A Grisel
This paper argues that game theory provides powerful, effective new tools to analyze externalities that occur in the context of strategic, multi-party, interactive decision-making. I will attempt to treat this as a non-technical paper and avoid the complex mathematics better left to economists and mathematicians. Instead, a more achievable goal is to illustrate how high-seas open-access fishing is virtually identical to a game situation, treat the fundamentals of game theory, and demonstrate that game theoretic analyses are well-suited and fruitful for designing effective policy responses to fisheries management, particularly with respect to the straddling stocks problem. Indeed, one seminal fisheries …
La Experiencia Chilena Disuadiendo Ilícitos Corporativos, Diego G. Pardow
La Experiencia Chilena Disuadiendo Ilícitos Corporativos, Diego G. Pardow
Diego G. Pardow
This paper analyzes the investigations on potential misconducts conducted by the Chilean public enforcer (Superintendencia de Valores y Seguros, “SVS”) between 1990 and 2012. The evidence reveals two groups of problems: on the one hand, the SVS has leaved a substantial region of the market unmonitored; on the other hand, the level of specific deterrence is generally low and relies greatly on indirect mechanisms of punishment. Such results suggest that future reforms should facili- tate private enforcement on both the extensive and the intensive margin. Whereas improving the performance of the SVS on the extensive margin should mitigate its monitoring …
What Should We Expect From The Dodd-Frank Bounty Program?, Diego G. Pardow
What Should We Expect From The Dodd-Frank Bounty Program?, Diego G. Pardow
Diego G. Pardow
Among other changes, the Dodd–Frank bounty program substantially increases the size of the rewards. The supporters argue that the program should encourage more players to step in, whereas the critics claim that it would only increase less reliable whistleblowers. This note describes the economic reasoning behind the dispute, attempting to build a reasonable expectation in light of the available empirical data. Although most of the evidence from previous bounty programs sides with the supporter’s theory, it has to be considered that the quantity and quality of whistleblower reporting are not the only relevant factors. Whistleblowers play a key role diversifying …
Running In The Shadows, Joshua A. Craven
Running In The Shadows, Joshua A. Craven
joshua a craven
The financial crisis of 2007-2008 can be characterized as a run on the shadow banking system. Over several decades, the United States slowly and quietly developed a massive shadow banking system—a complex chain of borrowers and investors entering into repo agreements financed by money-market mutual funds and primary dealers, collateralized with asset-backed securities derived from mortgages originated by lenders and securitized through special purpose vehicles, then purchased by banks with capital raised by entering into repo agreements. For years, this chain of transactions operated to meet banks’ short-term liquidity needs, until uncertainty in the value of the asset-backed securities used …
La Transparencia En La Protección De Datos Personales, Bruno L. Costantini García
La Transparencia En La Protección De Datos Personales, Bruno L. Costantini García
Bruno L. Costantini García
La Transparencia en la Protección de Datos Personales, ponencia elaborada dentro de los trabajos del VII Congreso Nacional de Organismos Públicos Autónomos (OPAM)
The Alternative Forms Of Dispute Settlement And The Essential Difference Between These And Arbitration, Michael Diathesopoulos
The Alternative Forms Of Dispute Settlement And The Essential Difference Between These And Arbitration, Michael Diathesopoulos
Michael Diathesopoulos
The paper examines the characteristics of some common alternative forms of dispute settlement and their key differences from arbitration regarding their nature and scope. Its purpose is to explore each mechanism's suitability for specific types of disputes.
Aspectos Generales Dela Publicidad En México. "La Publicidad De Productos, Servicios, Y Actividades Reguladas Por La Ley General De Salud", Bruno L. Costantini García
Aspectos Generales Dela Publicidad En México. "La Publicidad De Productos, Servicios, Y Actividades Reguladas Por La Ley General De Salud", Bruno L. Costantini García
Bruno L. Costantini García
Introducción a las generalidades de la regulación en materia de publicidad de insumos para el consumo humano (salud) en México.
Are Short Sellers Really The Enemy Of Efficient Securities Markets Or Are They Just Public Patsies?, Abel C. Ramirez Jr.
Are Short Sellers Really The Enemy Of Efficient Securities Markets Or Are They Just Public Patsies?, Abel C. Ramirez Jr.
Abel C Ramirez Jr.
When the 2008 global financial crisis caused the stock market to drastically decline, short selling generated intense political and economic scrutiny that negatively characterized the practice as a predatory scheme. When the 2008 global financial crisis caused the stock market to drastically decline, short selling generated intense political and economic scrutiny that negatively characterized the practice as a predatory scheme. As a legitimate investment strategy, short selling is a method by which investors can capitalize on over-valued stocks that decline – this is NOT the same as “contributing” to the stock’s decline, which short selling’s detractors might believe.
Títulos Valores, Martin Paolantonio
Títulos Valores, Martin Paolantonio
Martin Paolantonio
Análisis de los principales aspectos del Proyecto de Código Civil de 2012, que unifica la legislación comercial y civil e incorpora por primera vez una parte general de títulos valores
Derecho Penal Y Mercado Financiero: Ley 26.733, Martin Paolantonio
Derecho Penal Y Mercado Financiero: Ley 26.733, Martin Paolantonio
Martin Paolantonio
Análisis integral de los tipos penales incorporados por la ley 26.733, que incluyen insider trading, manipulación de mercado, oferta engañosa de valores negociables, intermediación financiera irregular, colocación no autorizada en el mercado de capitales, cohecho financiero y responsabilidad penal de la persona jurídica
El Proyecto De Código Civil Y Comercial Y Los Títulos Valores, Martin Paolantonio
El Proyecto De Código Civil Y Comercial Y Los Títulos Valores, Martin Paolantonio
Martin Paolantonio
Análisis de los principales aspectos del Proyecto de Código Civil de 2012, que unifica la legislación comercial y civil e incorpora por primera vez una parte general de títulos valores
La Autocontratación En La Ejecución Cambiaria, Martin Paolantonio
La Autocontratación En La Ejecución Cambiaria, Martin Paolantonio
Martin Paolantonio
Análisis de cuestiones que plantea la autocontratación en los títulos valores cambiarios, a propósito de un fallo de la Sala B de la Cámara Nacional de Apelaciones en lo Comercial
Opciones De Diseño Institucional En La Ley Del Mercado De Capitales, Martin Paolantonio
Opciones De Diseño Institucional En La Ley Del Mercado De Capitales, Martin Paolantonio
Martin Paolantonio
Análisis de algunas de las opciones centrales del legislador en materia de mercado de capitales: poderes del regulador, autorregulación y objetivos de la ley
Mercado De Valores Y Derecho Penal: Insider Trading, Martin Paolantonio
Mercado De Valores Y Derecho Penal: Insider Trading, Martin Paolantonio
Martin Paolantonio
Primer análisis del tipo penal de uso o suministro de información privilegiada, incorporada al Código Penal por la ley 26733 de diciembre de 2011
Juicio De Conocimiento Posterior A La Ejecución Cambiaria, Martin Paolantonio
Juicio De Conocimiento Posterior A La Ejecución Cambiaria, Martin Paolantonio
Martin Paolantonio
En nota a fallo, revisión de las cuestiones principales en el juicio de conocimiento posterior a la condena en la ejecución de un pagaré
Transmisión Del Cheque Rechazado, Truncamiento Y Ejecución, Martin Paolantonio
Transmisión Del Cheque Rechazado, Truncamiento Y Ejecución, Martin Paolantonio
Martin Paolantonio
Nota a fallo en donde se analizan algunos aspectos de la circulación del cheque luego del rechazo bancario, y del truncamiento
Pago Indebido Del Cheque: Responsabilidad Concurrente Del Cuentacorrentista Y El Banco Girado, Martin Paolantonio, Pablo Legón
Pago Indebido Del Cheque: Responsabilidad Concurrente Del Cuentacorrentista Y El Banco Girado, Martin Paolantonio, Pablo Legón
Martin Paolantonio
En nota a fallo, se analizan los riesgos del pago indebido del cheque, repasando los diferentes escenarios previstos legalmente y las líneas jurisprudenciales relevantes
Derecho Penal Y Mercado De Capitales: La Oferta Engañosa De Valores Negociables, Martin Paolantonio
Derecho Penal Y Mercado De Capitales: La Oferta Engañosa De Valores Negociables, Martin Paolantonio
Martin Paolantonio
Análisis del tipo penal sobre oferta engañosa de valores negociables, y consideraciones sobre el deber de información en el mercado de capitales
The Volcker Rule, Joshua A. Craven
Stapled Financing, Joshua A. Craven
Reforma Del Mercado De Capitales, Martin Paolantonio
Reforma Del Mercado De Capitales, Martin Paolantonio
Martin Paolantonio
Primer análisis de la ley 26831, que reforma de manera integral el marco legal del mercado de capitales en la Argentina
Geothermal Resources Under The Mining Law Regime--Problems & Possibilities, Richard A. Grisel
Geothermal Resources Under The Mining Law Regime--Problems & Possibilities, Richard A. Grisel
Richard A Grisel
The development of geothermal resources has been greatly hampered by the legal and institutional framework governing geothermal energy resources. This framework has been plagued by conflicting mining and water laws, anachronistic common law systems of property rights, problematic legal classifications of geothermal resources, and jurisdictional variances from state to state and between states and the Federal government. These issues have combined to significantly hinder the development of what will be a vital resource for our nation’s future energy needs.
This thesis concerns one way to address the suboptimal development of geothermal energy resources. Using the Federal acquisition of exclusive airspace …
Will The Sec Survive Financial Regulatory Reform?, Renee M. Jones
Will The Sec Survive Financial Regulatory Reform?, Renee M. Jones
Renee Jones
The Securities and Exchange Commission’s (“SEC”) conspicuous failures during the financial crisis of 2008 have led many to question the agency’s relevance in the modern financial era. Some commentators have called for the creation of new super-agencies to assume a substantial portion of the SEC’s duties. Others highlight enforcement failures and question the agency’s commitment to its investor protection mission. Despite its recent missteps and persistent calls for regulatory overhaul, the SEC’s future seems secure for now as President Obama’s reform proposals (the “Obama Plan”) as currentlyconceived preserve the agency’s independence. Although thus far the Obama Plan protects the SEC’s …