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Articles 1 - 5 of 5
Full-Text Articles in Securities Law
Morrison V. National Australia Bank: Life After Dodd-Frank, Meny Elgadeh
Morrison V. National Australia Bank: Life After Dodd-Frank, Meny Elgadeh
Fordham Journal of Corporate & Financial Law
This Note examines the background of foreign-cubed litigation,1 including its development over the past four decades, its abrogation by the Supreme Court, and its potential future under recently enacted legislation. The Note examines the tests developed by the Court of Appeals in order to determine whether a United States court could adjudicate foreign-cubed litigation. Additionally, it reviews the Supreme Court opinion in Morrison v. National Australia Bank and its ultimate rejection of the predominant Second Circuit test for applicability. Finally, the Note discusses “The Dodd–Frank Wall Street Reform and Consumer Protection Act,” a provision of which was specifically included to …
Outsourcing Fraud Detection: The Analyst As Dodd-Frank Whistleblower, Luke Roosevelt Hornblower
Outsourcing Fraud Detection: The Analyst As Dodd-Frank Whistleblower, Luke Roosevelt Hornblower
Journal of Business & Technology Law
No abstract provided.
The Dodd-Frank Act's Specialized Corporate Disclosure: Using The Securities Laws To Address Public Policy Issues, David M. Lynn
The Dodd-Frank Act's Specialized Corporate Disclosure: Using The Securities Laws To Address Public Policy Issues, David M. Lynn
Journal of Business & Technology Law
No abstract provided.
Investment Adviser Regulation Post-Madoff: A Brave New World, Kevin A. Zambrowicz
Investment Adviser Regulation Post-Madoff: A Brave New World, Kevin A. Zambrowicz
Journal of Business & Technology Law
No abstract provided.
A Summary Of The Sec Study On Investment Advisors And Broker-Dealers, Christine Lazaro
A Summary Of The Sec Study On Investment Advisors And Broker-Dealers, Christine Lazaro
Faculty Publications
(Excerpt)
For some time, there has been a debate over what the appropriate standards of care are and should be for both broker-dealers and investment advisers. The standards vary based on where the investment professional is, where the customer is, what types of services are being offered and what responsibilities are assumed. Across the country, there is a complete lack of uniformity. Congress considered this when drafting the Dodd-Frank Wall Street Reform and Consumer Protection Act. Accordingly, pursuant to Dodd-Frank, Congress required the SEC (the “Commission”) to conduct a study to examine the current standards of care for both brokers …