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Articles 1 - 30 of 52
Full-Text Articles in Securities Law
The Political Economy Of Statutory Reach: U.S. Disclosure Rules In A Globalizing Market For Securities, Merritt B. Fox
The Political Economy Of Statutory Reach: U.S. Disclosure Rules In A Globalizing Market For Securities, Merritt B. Fox
Michigan Law Review
This Article addresses the appropriate reach of the U.S. mandatory securities disclosure regime. While disclosure obligations are imposed on issuers, they are triggered by transactions:- the public offering of, or public trading in, the issuers' shares. Share transactions are taking o n an increasingly transnational character. The barriers to a truly global market for equities continue to lessen: financial information is becoming increasingly globalized and it is becoming increasingly inexpensive and easy to effect share transactions abroad. There are approximately 41,000 issuers of publicly traded shares in the world. For an ever larger portion of these issuers, there will be …
Outsider Trading On Confidential Information: A Breech In Search Of A Duty, Roberta S. Karmel
Outsider Trading On Confidential Information: A Breech In Search Of A Duty, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
Transcript Of The Roundtable On Insider Trading: Law, Policy And Theory After O'Hagan, Roberta S. Karmel
Transcript Of The Roundtable On Insider Trading: Law, Policy And Theory After O'Hagan, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
Modern Partnership Interests As Securities: The Effect Of Rupa, Rulpa, And Llp Statutes On Investment Contract Analysis, James B. Porter
Modern Partnership Interests As Securities: The Effect Of Rupa, Rulpa, And Llp Statutes On Investment Contract Analysis, James B. Porter
Washington and Lee Law Review
No abstract provided.
Securities Fraud Or Mere Puffery: Refinement Of The Corporate Puffery Defense, R. Gregory Roussel
Securities Fraud Or Mere Puffery: Refinement Of The Corporate Puffery Defense, R. Gregory Roussel
Vanderbilt Law Review
A corporation's use of forward-looking corporate statements' is a common, arguably essential, element of the landscape of modern financial markets. Unfortunately, the failure to meet the expectations created by forward-looking statements often serves as the basis for a potentially devastating private action for securities fraud. Before Congress responded to frivolous private securities fraud class actions with the Private Securities Litigation Reform Act of 1995, ("Reform Act") the judiciary took it upon itself to provide relief to burdened corporations. In doing so, the courts focused on the materiality of the corporation's statements, an essential building block in the plaintiffs construction of …
United States V. O'Hagan: Recognition Of The Misappropriation Theory, Brian W. Morgan
United States V. O'Hagan: Recognition Of The Misappropriation Theory, Brian W. Morgan
Brigham Young University Journal of Public Law
No abstract provided.
Insider Trading And Family Values, Judith G. Greenberg
Insider Trading And Family Values, Judith G. Greenberg
William & Mary Journal of Race, Gender, and Social Justice
No abstract provided.
The Body As Commodity: The Use Of Markets To Cure The Organ Deficit, David E. Jefferies
The Body As Commodity: The Use Of Markets To Cure The Organ Deficit, David E. Jefferies
Indiana Journal of Global Legal Studies
No abstract provided.
From Horse Trading To Insider Trading: The Historical Antecedents Of The Insider Trading Debate, Paula J. Dalley
From Horse Trading To Insider Trading: The Historical Antecedents Of The Insider Trading Debate, Paula J. Dalley
William & Mary Law Review
No abstract provided.
Legal Developments In The Electronic Securities Markets: Online Trading Systems And The Use Of Websites For Offshore Internet Offers, David A. Westbrook, Brandon Becker, Lyle Roberts
Legal Developments In The Electronic Securities Markets: Online Trading Systems And The Use Of Websites For Offshore Internet Offers, David A. Westbrook, Brandon Becker, Lyle Roberts
Contributions to Books
Published as Chapter 22 in Securities Law & The Internet 1998: Doing Business In a Rapidly Changing Marketplace, Stephen J. Schulte, Michelle C. Wallach & Brandon Becker, eds.
The Rotten Foundations Of Securitization, David Gray Carlson
The Rotten Foundations Of Securitization, David Gray Carlson
William & Mary Law Review
No abstract provided.
Taking Another Look At The Regulation Of Mutual Funds In The Aftermath Of The Asian Financial Crisis, Thomas Krider
Taking Another Look At The Regulation Of Mutual Funds In The Aftermath Of The Asian Financial Crisis, Thomas Krider
Washington International Law Journal
This Comment analyzes the 1997 financial crisis in Asia and its effect on U.S. mutual fund investors. The crisis was most acute in, and this Comment focuses on, the countries of Thailand, Indonesia and South Korea. The lack of transparency in these countries led to substantial losses for U.S. investors whose money was in nontransparent organizations through their ownership of mutual funds. The International Monetary Fund responded to the Asian crisis with aid packages intended to prevent the insolvency of those countries in financial trouble. As part of the IMF's program, one of the primary requirements for receiving aid is …
There Should Be No Reliance In The "Blue Sky", David O. Blood
There Should Be No Reliance In The "Blue Sky", David O. Blood
BYU Law Review
No abstract provided.
Realigning Corporate Governance: Shareholder Activism By Labor Unions, Stewart J. Schwab, Randall S. Thomas
Realigning Corporate Governance: Shareholder Activism By Labor Unions, Stewart J. Schwab, Randall S. Thomas
Michigan Law Review
Labor unions are active again - but this time as capitalists. The potential strength of union pension funds has long been noted, but until recently unions have held their stock passively or invested in union-friendly companies. In the 1990s, however, unions have become the most aggressive of all institutional shareholders. In most cases, it is hard to find a socialist or proletarian plot in what unions are doing with their shares. Rather, labor activism is a model for any large institutional investor attempting to maximize return on capital. Unions, union pension funds, individual union members, and labor-oriented investment funds are …
The Challenge To Financial Regulators Posed By Social Security Privatization, Roberta S. Karmel
The Challenge To Financial Regulators Posed By Social Security Privatization, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
Comparative Investor Education, James A. Fanto
Comparative Investor Education, James A. Fanto
Faculty Scholarship
No abstract provided.
Creating Law At The Securities And Exchange Commission: The Lawyer As Prosecutor, Roberta S. Karmel
Creating Law At The Securities And Exchange Commission: The Lawyer As Prosecutor, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
Bridging The "Trade Secret" Gap: Protecting "Confidential Information" Not Rising To The Level Of Trade Secrets, Robert Unikel
Bridging The "Trade Secret" Gap: Protecting "Confidential Information" Not Rising To The Level Of Trade Secrets, Robert Unikel
Loyola University Chicago Law Journal
No abstract provided.
Alternativas De Financiación De La Empresa (Ii), Martin Paolantonio
Alternativas De Financiación De La Empresa (Ii), Martin Paolantonio
Martin Paolantonio
Segunda parte del análisis de las alternativas legales para la implementación de decisiones financieras
Alternativas De Financiación De La Empresa (I), Martin Paolantonio
Alternativas De Financiación De La Empresa (I), Martin Paolantonio
Martin Paolantonio
Primera parte del análisis de estructuras legales y decisiones financieras de la empresa
Abuso De Derecho Y Abuso De Posición Dominante, Martin Paolantonio, Salvador Bergel
Abuso De Derecho Y Abuso De Posición Dominante, Martin Paolantonio, Salvador Bergel
Martin Paolantonio
Análisis de la relación entre el concepto genérico de abuso de derecho y el de abuso de posición dominante del derecho de defensa de la competencia
Consideraciones Sobre El Contrato De Factoring En La Argentina, Martin Paolantonio
Consideraciones Sobre El Contrato De Factoring En La Argentina, Martin Paolantonio
Martin Paolantonio
Análisis de las principales cuestiones sobre el contrato de factoring considerando su carácter de contrato atípico, la integración con las normas sobre cesión de derechos y la Convención Unidroit. Conveniencia y límites de una regulación expresa del contrato de factoring.
Covenants Y Responsabilidad Civil De Las Entidades Financieras, Martin Paolantonio
Covenants Y Responsabilidad Civil De Las Entidades Financieras, Martin Paolantonio
Martin Paolantonio
Un análisis de la función de los covenants en la contratación financiera, con referencia a algunos supuestos particulares susceptibles de generar responsabilidad civil para las entidades financieras
El Control Judicial De Las Cláusulas Predispuestas Y Un Fallo Ejemplar, Martin Paolantonio
El Control Judicial De Las Cláusulas Predispuestas Y Un Fallo Ejemplar, Martin Paolantonio
Martin Paolantonio
Nota a un fallo que declara la ineficacia de una cláusula en el contrato de tarjeta de crédito que permitía su extinción en cualquier tiempo y sin causa por el banco emisor
La Indicación Del Lugar De Pago En El Pagaré, Martin Paolantonio
La Indicación Del Lugar De Pago En El Pagaré, Martin Paolantonio
Martin Paolantonio
Breve nota a fallo en materia de interpretación de la exigencia legal de indicación del lugar de pago en el pagaré y su modalidad de inclusión en el documento
Rights And Remedies Of Shareholders In Closely Held Corporations Under Illinois Law, The, William R. Quinlan, John F. Kennedy
Rights And Remedies Of Shareholders In Closely Held Corporations Under Illinois Law, The, William R. Quinlan, John F. Kennedy
Loyola University Chicago Law Journal
No abstract provided.
Regulation S And Offshore Capital: Will The New Amendments Rid The Safe Harbor Of Pirates?, Jon B. Jordan
Regulation S And Offshore Capital: Will The New Amendments Rid The Safe Harbor Of Pirates?, Jon B. Jordan
Northwestern Journal of International Law & Business
This article will explain how the securities laws were prior to Regulation S as they applied to the offshore offer and sale of securities. The regulation as originally adopted and the brand new safe harbors it brought to the laws governing offshore offers and sales will also be explored. Then the subsequent regulatory abuses and concerns in the marketplace surrounding the regulation and the Commission's response to these issues will be discussed. The amendments to Regulation S which eventually served as the Commission's way of halting these problems and the changes they brought to the regulation will be laid out. …
The Securities Litigation Uniform Standards Act Of 1998: The Sun Sets On California's Blue Sky Laws, David M. Lavine, Adam C. Pritchard
The Securities Litigation Uniform Standards Act Of 1998: The Sun Sets On California's Blue Sky Laws, David M. Lavine, Adam C. Pritchard
Articles
It is often said that California sets the pace for changes in America's tastes. Trends established in California often find their way into the heartland, having a profound effect on our nation's cultural scene. Nouvelle cuisine, the dialect of the Valley Girl and rollerblading all have their genesis on the West Coast. The most recent trend to emerge from California, instead of catching on in the rest of the country, has been stopped dead in its tracks by a legislative rebuke from Washington, D.C. California's latest, albeit short-lived, contribution to the nation was a migration of securities fraud class actions …
United States V. O'Hagan: Agency Law And Justice Powell's Legacy For The Law Of Insider Trading, Adam C. Pritchard
United States V. O'Hagan: Agency Law And Justice Powell's Legacy For The Law Of Insider Trading, Adam C. Pritchard
Articles
The law of insider trading is judicially created; no statutory provision explicitly prohibits trading on the basis of material, non-public information. The Supreme Court's insider trading jurisprudence was forged, in large part, by Justice Lewis F. Powell, Jr. His opinions for the Court in United States v. Chiarella and SEC v. Dirks were, until recently, the Supreme Court's only pronouncements on the law of insider trading. Those decisions established the elements of the classical theory of insider trading under § 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act"). Under this theory, corporate insiders and their tippees who …
Wall Street? Where We're Going We Don't Need Wall Street: Do Securities Regulators Stand A Chance In Cyberspace?, Neil D. Schwartz
Wall Street? Where We're Going We Don't Need Wall Street: Do Securities Regulators Stand A Chance In Cyberspace?, Neil D. Schwartz
Florida State University Journal of Transnational Law & Policy
No abstract provided.