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Full-Text Articles in Securities Law

Morrison V. National Australia Bank: Life After Dodd-Frank, Meny Elgadeh Jan 2011

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 Jan 2011

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 Jan 2011

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 Jan 2011

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 Jan 2011

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 …