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Articles 1 - 30 of 32
Full-Text Articles in Securities Law
The Macroprudential Turn: From Institutional “Safety And Soundness” To “Systemic Stability” In Financial Supervision, Robert C. Hockett
The Macroprudential Turn: From Institutional “Safety And Soundness” To “Systemic Stability” In Financial Supervision, Robert C. Hockett
Robert C. Hockett
This Working Paper is no longer available. The published version of this article is available at: http://scholarship.law.cornell.edu/facpub/1405/ Since the global financial dramas of 2008-09, authorities on financial regulation have come increasingly to counsel the inclusion of macroprudential policy instruments in the standard ‘toolkit’ of finance-regulatory measures employed by financial supervisors. The hallmark of this perspective is its focus not simply on the safety and soundness of individual financial institutions, as is characteristic of the traditional ‘microprudential’ perspective, but also on certain structural features of financial systems that can imperil such systems as wholes. Systemic ‘financial stability’ thus comes to supplement, …
Who Sits On Texas Corporate Boards? Texas Corporate Directors: Who They Are & What They Do, Lawrence J. Trautman
Who Sits On Texas Corporate Boards? Texas Corporate Directors: Who They Are & What They Do, Lawrence J. Trautman
Lawrence J. Trautman Sr.
Corporate directors play an important role in governing American business, in the capital formation process, and are fundamental to the stewardship of economic growth. Texas businesses play a disproportionately important role among the states in aggregate U.S. job creation, responsible for 37% of all net new American jobs since the post 2008-2009 recovery began. It is the job of the board of directors to govern the corporation. The duties and responsibilities of a corporate director include: the duty of care; duty of loyalty; and duty of good faith. This paper results from the author’s previously assembled biographical data for most …
The Criminal Practitioner's Guide To Understanding The New York Securities Laws And Penal Law Scheme To Defraud, John C. Henry
The Criminal Practitioner's Guide To Understanding The New York Securities Laws And Penal Law Scheme To Defraud, John C. Henry
John C. Henry
No abstract provided.
A Comparative Study Of Monitoring Of Management In German And U.S. Corporations After Sarbanes-Oxley: Where Are The German Enrons, Worldcoms, And Tycos?, Florian Stamm
Georgia Journal of International & Comparative Law
No abstract provided.
Inevitable Imbalance: Why Ftc V. Actavis Was Inadequate To Solve The Reverse Payment Settlement Problem And Proposing A New Amendment To The Hatch-Waxman Act, Rachel A. Lewis
Seattle University Law Review
The law regarding reverse payment settlements is anything but settled. Reverse payment settlements are settlements that occur during a patent infringement litigation in which a pharmaceutical patent holder pays a generic drug producer to not infringe on the pharmaceutical patent. Despite the recent decision by the United States Supreme Court in FTC v. Actavis, Inc., there are still unanswered questions about how the “full rule of reason” analysis will be applied to reverse payment. This Comment argues that despite the outcome in Actavis, the complex regulatory framework of the Hatch–Waxman Act will create repeated conflicts between antitrust law and patent …
The Key Elements For Developing A Securities Market To Drive Economic Growth: A Roadmap For Emerging Markets, Ziven Scott Birdwell
The Key Elements For Developing A Securities Market To Drive Economic Growth: A Roadmap For Emerging Markets, Ziven Scott Birdwell
Georgia Journal of International & Comparative Law
No abstract provided.
Lig Se Assemelha Em Parte Aos Covered Bonds Que Contribuíram Para A Crise Do Subprime, Luiz Rafael De Vargas Maluf
Lig Se Assemelha Em Parte Aos Covered Bonds Que Contribuíram Para A Crise Do Subprime, Luiz Rafael De Vargas Maluf
Luiz Rafael de Vargas Maluf
No abstract provided.
Debêntures: Iniciativas Para Aumento De Liquidez E Fomento Ao Mercado Secundário, Luiz Rafael De Vargas Maluf
Debêntures: Iniciativas Para Aumento De Liquidez E Fomento Ao Mercado Secundário, Luiz Rafael De Vargas Maluf
Luiz Rafael de Vargas Maluf
No abstract provided.
New York Stock Exchange, Bert Chapman
New York Stock Exchange, Bert Chapman
Libraries Faculty and Staff Scholarship and Research
Provides a historical overview of the origins and early development of the New York Stock Exchange.
E-Commerce And Electronic Payment System Risks: Lessons From Paypal, Lawrence J. Trautman
E-Commerce And Electronic Payment System Risks: Lessons From Paypal, Lawrence J. Trautman
Lawrence J. Trautman Sr.
What are the major risks perceived by those engaged in e-commerce and electronic payment systems? What development risks, if they become reality, may cause substantial increases in operating costs or threaten the very survival of the enterprise? This article utilizes the relevant annual report disclosures from eBay (parent of PayPal), along with other eBay and PayPal documents, as a potentially powerful teaching device. Most of the descriptive language to follow is excerpted directly from eBay’s regulatory filings. My additions include weaving these materials into a logical presentation and providing supplemental sources for those who desire a deeper look (usually in …
Cvm Set To Reduce Costs And Bureaucracy For Equity Offerings, Luiz Rafael De Vargas Maluf, Nair Veras Saldanha Janson
Cvm Set To Reduce Costs And Bureaucracy For Equity Offerings, Luiz Rafael De Vargas Maluf, Nair Veras Saldanha Janson
Luiz Rafael de Vargas Maluf
No abstract provided.
Evaluating The Performance And Accountability Of Regulators, Colin Scott
Evaluating The Performance And Accountability Of Regulators, Colin Scott
Seattle University Law Review
The global financial crisis came in the wake of significant reforms to the structures, processes, powers, and rules of the regulatory regimes for financial markets in many of the countries adversely affected by the crash. The global financial crisis came in the wake of significant reforms to the structures, processes, powers, and rules of the regulatory regimes for financial markets in many of the countries adversely affected by the crash. In this Article, I follow the logic of an argument that regulation necessarily has political dimensions, even where it may appear technical. I am asking questions about how we might …
Culture Wars: Rate Manipulation, Institutional Corruption, And The Lost Normative Foundations Of Market Conduct Regulation, Justin O'Brien
Culture Wars: Rate Manipulation, Institutional Corruption, And The Lost Normative Foundations Of Market Conduct Regulation, Justin O'Brien
Seattle University Law Review
The global investigations into the manipulation of the London Interbank Offered Rate (Libor) have raised significant questions about how conflicts of interest are managed for regulated entities contributing to benchmarks. An alternative framework, which brings the management of the rate process under direct regulatory supervision, is under consideration, coordinated by the International Organization of Securities Commissions taskforce. The articulation of global principles builds on a review commissioned by the British government that suggests rates calculated by submission can be reformed. This paper argues that this approach is predestined to fail, precisely because it ignores the lessons of history. In revisiting …
The Timing And Source Of Regulation, Frank Partnoy
The Timing And Source Of Regulation, Frank Partnoy
Seattle University Law Review
The distinction between specific concrete rules and general abstract principles has engaged legal theorists for decades. This rules–principles distinction has also become increasingly important in corporate and securities law, as well as financial market regulation. This Article adds two important variables to the rules–principles debate: timing and source. Although these two variables are relevant to legal theory generally, the specific goal here is not to address and engage the rules versus principles literature directly. Rather, the goal here is to ask whether the debate about financial market regulation might benefit from a more transparent analysis of temporal and legal source …
Are Defined Contribution Pension Plans Fit For Purpose In Retirement?, Jeremy R. Cooper
Are Defined Contribution Pension Plans Fit For Purpose In Retirement?, Jeremy R. Cooper
Seattle University Law Review
This Article considers the historical basis for the shift from defined benefit plans to defined contribution plans, the structural and practical shortcomings of defined contribution plans, alternate pension models, and adjustments to existing retirement plan models that may offer a degree of protection to plan contributors. Like the United States, Australia is now realizing the limitations of a defined contribution retirement system insofar as it relates the provision of reliable retirement income for a population with increasing life expectancy. Unlike defined contribution plans, defined benefit plans provide a benefit based typically on time served and a predetermined proportion of either …
Australia’S Experience With Foreign Direct Investment By State Controlled Entities: A Move Towards Xenophobia Or Greater Openness?, Greg Golding
Seattle University Law Review
Over the last few years, there has been considerable debate in Australia as to the appropriate regulation of foreign direct investment by entities affiliated with foreign governments. During that time, Australia has been a significant beneficiary of investment by sovereign wealth funds from many foreign jurisdictions, particularly by Chinese state owned enterprises. The Australian government, similar to governments of many developed Western countries, has struggled to properly calibrate its policy settings for regulating this type of investment activity. This Article considers the Australian regulatory regime and assesses Australia’s experience in regulating those investment flows during this period.
The New Policing Of Business Crime, Rachel E. Barkow
The New Policing Of Business Crime, Rachel E. Barkow
Seattle University Law Review
The central goal of this Article is to describe the burgeoning turn to new policing techniques in the business crime context and to offer some initial thoughts on the promises and limits of the approach. Part II begins by explaining the traditional or “old policing” of business crime. After implementing an initial strategy that focused on pursuing individuals, the government turned its attention to the organizations where those individuals operated. It increased the sanctions for violators and sought to target companies in an effort to prompt them to adopt internal compliance pro-grams. The focus on company compliance programs was designed …
Deferred Prosecutions In The Corporate Sector: Lessons From Libor, Justin O'Brien, Olivia Dixon
Deferred Prosecutions In The Corporate Sector: Lessons From Libor, Justin O'Brien, Olivia Dixon
Seattle University Law Review
Since 2008, the global economic downturn has significantly in-creased operating pressures on major corporations. Additionally, there has been a corresponding increase in corporate tolerance for corruption, which has coincided with a marked preference by regulators in settling, rather than litigating, enforcement actions. This Article argues that the expansion of prosecutorial authority without appropriate accountability restraints is a major tactical and strategic error. It evaluates whether the mechanism can be made subject to effective oversight. It argues that the current frame-work in the United States is highly problematic, leading to settlements that generate newspaper headlines but not necessarily cultural change. It …
Mural Do Leitor - Comentário Ao Artigo "Cvm Propõe Ofertas De Ações Restritas A Qualificados", Luiz Rafael De Vargas Maluf
Mural Do Leitor - Comentário Ao Artigo "Cvm Propõe Ofertas De Ações Restritas A Qualificados", Luiz Rafael De Vargas Maluf
Luiz Rafael de Vargas Maluf
No abstract provided.
Nova 476: Ofertas De Ações Dão Mais Um Passo E Se Assemelham Às Práticas Internacionais, Luiz Rafael De Vargas Maluf, Nair Veras Saldanha Janson, Tobias Stirnberg, Felipe Câmara
Nova 476: Ofertas De Ações Dão Mais Um Passo E Se Assemelham Às Práticas Internacionais, Luiz Rafael De Vargas Maluf, Nair Veras Saldanha Janson, Tobias Stirnberg, Felipe Câmara
Luiz Rafael de Vargas Maluf
No abstract provided.
Ofertas Mais Ágeis: Nova 476 Isenta De Registro Ofertas De Ações, Luiz Rafael De Vargas Maluf, Nair Veras Saldanha Janson
Ofertas Mais Ágeis: Nova 476 Isenta De Registro Ofertas De Ações, Luiz Rafael De Vargas Maluf, Nair Veras Saldanha Janson
Luiz Rafael de Vargas Maluf
No abstract provided.
Speculative Tech: The Bitcoin Legal Quagmire & The Need For Legal Innovation, Paul H. Farmer Jr.
Speculative Tech: The Bitcoin Legal Quagmire & The Need For Legal Innovation, Paul H. Farmer Jr.
Journal of Business & Technology Law
No abstract provided.
Remic Tax Enforcement As Financial-Market Regulator, Bradley T. Borden, David J. Reiss
Remic Tax Enforcement As Financial-Market Regulator, Bradley T. Borden, David J. Reiss
Faculty Scholarship
No abstract provided.
Dodd-Frank's Conflict Minerals Rule: The Tin Ear Of Government-Business Regulation, Henry Lowenstein
Dodd-Frank's Conflict Minerals Rule: The Tin Ear Of Government-Business Regulation, Henry Lowenstein
Marketing and Hospitality, Resort and Tourism Management
This paper examines an unusual provision included in the Dodd-Frank Wall Street Reform and Consumer Protection Act (2010), Section 1502 known as the Conflict Minerals Rule. This provision, having nothing to do with the subject matter of the act itself, attempts to place a chilling effect on the trade of four identified minerals from the Democratic Republic of Congo. The provision and its subsequent rule, surprisingly delegated to the U.S. Securities and Exchange Commission (an agency lacking subject matter expertise in minerals) presents a case and object lesson of almost every cost, procedural and legal error that can take place …
A New Crime For Corporate Misconduct?, Peter J. Henning
A New Crime For Corporate Misconduct?, Peter J. Henning
Law Faculty Research Publications
No abstract provided.
Admission Of Guilt: Sinking Teeth Into The Sec's Sweetheart Deals, Larissa Lee
Admission Of Guilt: Sinking Teeth Into The Sec's Sweetheart Deals, Larissa Lee
Larissa Lee
Throughout its existence, the Securities and Exchange Commission (SEC) has allowed defendants to settle cases without admitting to the allegations of wrongdoing. This “neither admit nor deny” policy has received heavy criticism by judges, Congress, and the public, especially in the wake of the 2008 financial crisis. On June 18, 2013, SEC Chairman Mary Jo White announced the agency’s intention to require admissions of guilt in certain cases. While Chairman White did not articulate a clear standard of when admissions would be required, she did say that the agency would focus on the egregiousness of the defendant’s conduct and the …
U.S. Insider Trading Law Enforcement: Survey Of Sec Actions From 2009 To 2013 And Issues, Chien-Chung Lin, Eric Hung
U.S. Insider Trading Law Enforcement: Survey Of Sec Actions From 2009 To 2013 And Issues, Chien-Chung Lin, Eric Hung
Chien-Chung Lin
This article discusses the SEC’s insider trading enforcement actions from 2009 to 2013. With an introduction of the current procedures and regulatory tools available, this article provides a thorough survey on the insider trading cases found from SEC’s official website, related databases and litigation releases in the corresponding period and compiles the results in appendices. In doing so, we present a first-hand, detailed picture of insider trading law in the United States and its enforcement. The data also relates to several much debated theoretical issues in this area, including the merit of punishing insider trading activities, the efficacy of current …
Stewardship In The Interests Of Systemic Stakeholders: Re-Conceptualizing The Means And Ends Of Anglo-American Corporate Governance In The Wake Of The Global Financial Crisis, Zhong Xing Tan
Journal of Business & Technology Law
No abstract provided.
The Governance Structure Of Shadow Banking, Steven L. Schwarcz
The Governance Structure Of Shadow Banking, Steven L. Schwarcz
Faculty Scholarship
No abstract provided.
Towards More Sustainable And Less Crisis-Driven Financial Regulation, Steven L. Schwarcz
Towards More Sustainable And Less Crisis-Driven Financial Regulation, Steven L. Schwarcz
Faculty Scholarship
No abstract provided.