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Full-Text Articles in Securities Law
Law Library Blog (November 2018): Legal Beagle's Blog Archive, Roger Williams University School Of Law
Law Library Blog (November 2018): Legal Beagle's Blog Archive, Roger Williams University School Of Law
Law Library Newsletters/Blog
No abstract provided.
Citing Counsel's Opinion About The Merits Of Legal Proceedings In Sec Filings, Wendy Gerwick Couture
Citing Counsel's Opinion About The Merits Of Legal Proceedings In Sec Filings, Wendy Gerwick Couture
Articles
No abstract provided.
Kokesh V. Sec: The Supreme Court Redefines An Effective Securities Enforcement Tool, Conor Daly
Kokesh V. Sec: The Supreme Court Redefines An Effective Securities Enforcement Tool, Conor Daly
Maryland Law Review Online
No abstract provided.
Financial Exploitation Of The Elderly: An Overview Of Regulatory Action, Christine Lazaro
Financial Exploitation Of The Elderly: An Overview Of Regulatory Action, Christine Lazaro
Faculty Publications
(Excerpt)
Financial exploitation of the elderly is a significant problem, which is only getting worse over time. A study by MetLife estimated that seniors lost $2.9 billion as a result of financial abuse, recognizing that the number was likely low due to underreporting of abuse. Each year, the elder population increases as the baby boomer generation ages. By the year 2050, it is estimated that 83.7 million people will be aged 65 or older, double what it was in 2012.
The Regulation Of Digital Investment Advice, Christine Lazaro
The Regulation Of Digital Investment Advice, Christine Lazaro
Faculty Publications
Digital investment advice, or robo-advice, is a growing trend in the financial services industry. It is expected that by 2022, robo-advisers will manage over $4 trillion in assets. Robo-advice covers a wide range of services, however all involve advice derived from algorithms. This article will discuss what robo-advice is as well as how it is regulated by the SEC and FINRA.
Insider Information And The Limits Of Insider Trading, Yesha Yadav
Insider Information And The Limits Of Insider Trading, Yesha Yadav
Vanderbilt Law School Faculty Publications
This essay offers brief observations on the internal coherence of the rationales underlying the prohibition against insider trading, taking the opportunity offered by Newman and Salman to reflect on its central policy aims. I do not discuss these cases specifically, or what a resolution by the Supreme Court might mean for the future of insider trading. Scholars and commentators have thoughtfully critiqued Newman alongside the doctrinal whiplash that has followed in its wake. Rather, I take this opportunity to look under the hood of securities trading to examine information flows within the mechanisms by which securities are bought and sold. …