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Reverse Mergers: A Legitimate Method For Companies To Go Public Or An Easy Way To Commit Fraud?, Kyla Houge 2016 Pepperdine University

Reverse Mergers: A Legitimate Method For Companies To Go Public Or An Easy Way To Commit Fraud?, Kyla Houge

Journal of the National Association of Administrative Law Judiciary

This article explores reverse mergers, a method commonly used by legitimate businesses and fraudsters alike. Part II provides a historical framework of publicly traded companies by detailing how they first began and exploring how they have evolved. Part III details several reasons a company may decide to go public. Part IV discusses, in detail, three common methods companies use when going public, called initial public offerings, Rule 144 placements, and direct public offerings, and the pros and cons of each method. Part V explores the origin of reverse mergers by explaining what a reverse merger is and exploring how reverse ...


The Judicial Role In Extraterritorial Application Of The Securities Exchange Act Of 1934: Vesco, William A. Aileo 2016 University of Georgia School of Law

The Judicial Role In Extraterritorial Application Of The Securities Exchange Act Of 1934: Vesco, William A. Aileo

Georgia Journal of International & Comparative Law

No abstract provided.


Regulating Foreign-Based Institutions For Collective Investment: The German Statute, The American Experience, And The Oecd Standard Rules, Charles B. Robson Jr. 2016 University of Georgia School of Law

Regulating Foreign-Based Institutions For Collective Investment: The German Statute, The American Experience, And The Oecd Standard Rules, Charles B. Robson Jr.

Georgia Journal of International & Comparative Law

No abstract provided.


Many Key Issues Still Left Unaddressed In The Securities And Exchange Commission's Attempt To Modernize Its Rules Of Practice, Joseph Quincy Patterson 2016 University of Notre Dame Law School

Many Key Issues Still Left Unaddressed In The Securities And Exchange Commission's Attempt To Modernize Its Rules Of Practice, Joseph Quincy Patterson

Notre Dame Law Review

This Note analyzes and explains the current issues and criticism regarding the SEC’s use of ALJs. In particular, this Note recommends that the SEC ratify its ALJs in accordance with constitutional requirements, create a rigid formula for its forum selection, and amend its Rules of Practice to align more closely to the procedural due process rights in federal district courts. As many of these topics are currently being discussed in federal courts of appeals and within the SEC—through its proposed amendments to the Rules of Practice—this Note intends to add to the discussion on a topic with ...


From The Great Depression To The Great Recession: On The Failure Of Regulation In The Mortgage Market, Dov Solomon 2016 Notre Dame Law School

From The Great Depression To The Great Recession: On The Failure Of Regulation In The Mortgage Market, Dov Solomon

Journal of Legislation

People tend to attribute the outbreak of the 2008 financial crisis to deregulation. This article challenges this view and presents a unique perspective of the crisis as in fact rooted in the way the residential mortgage market is regulated. Focusing on non-recourse mortgage legislation, which is a unique feature of the US mortgage market dating back to the period following the Great Depression, the article analyzes the contribution of this legislation to the onset of the Great Recession. The discussion shows how regulation that was enacted in response to a major economic crisis not only failed to prevent a large-scale ...


Single-Firm Event Studies, Securities Fraud, And Financial Crisis: Problems Of Inference, Andrew Baker 2016 Stanford University

Single-Firm Event Studies, Securities Fraud, And Financial Crisis: Problems Of Inference, Andrew Baker

Andrew Baker

Lawsuits brought pursuant to section 10(b) of the Securities and Exchange Act
depend on the reliability of a statistical tool called an event study to adjudicate issues of
reliance, materiality, loss causation, and damages. Although judicial acceptance of the
event study technique is pervasive, there has been little empirical analysis of the ability of
event studies to produce reliable results when applied to a single company’s security.

Using data from the recent financial crisis, this Note demonstrates that the standardmodel
event study used in most court proceedings can lead to biased inferences sanctioned
through the Daubert standard of ...


The Sky Is Not Falling, Todd Newman: The Ninth Circuit Endorses A Measured Reading Of Newman's Definition Of Personal Benefit For Insider Trading Liability In United States V. Salman, John L. Potapchuk 2016 Boston College Law School

The Sky Is Not Falling, Todd Newman: The Ninth Circuit Endorses A Measured Reading Of Newman's Definition Of Personal Benefit For Insider Trading Liability In United States V. Salman, John L. Potapchuk

Boston College Law Review

On July 6, 2015, the U.S. Court of Appeals for the Ninth Circuit, in United States v. Salman, declined to adopt the novel definition of the personal-benefit element for insider trading, as articulated by the U.S. Court of Appeals for the Second Circuit in United States v. Newman in December 2014. In so doing, the court’s decision presented the first significant resistance to the longevity of the Newman court’s apparent holding that the personal-benefit element requires proof of a pecuniary exchange in all instances. This Comment argues that the court in Salman correctly declined to extend ...


A Critique Of Saudi M&A Laws, Mulhim Hamad Almulhim 2016 Penn State Law

A Critique Of Saudi M&A Laws, Mulhim Hamad Almulhim

SJD Dissertations

This dissertation aims to elucidate Saudi Arabia’s mergers and acquisitions (M&A) laws. The dissertation studies and analyzes current Saudi M&A laws with reference to comparative models from different countries and provides recommendations to improve the transparency and efficiency of Saudi Arabia’s M&A laws. Such improvements may help companies attempting to conduct M&A activity in Saudi Arabia address certain barriers and difficulties, which may in turn help to stimulate the Saudi Arabian economy.

Saudi Arabia is considered one of the world’s foremost emerging markets. Since Saudi Arabia joined the World Trade Organization, its stock ...


In Her Words: Recognizing And Preventing Abusive Litigation Against Domestic Violence Survivors, David Ward 2016 Seattle University School of Law

In Her Words: Recognizing And Preventing Abusive Litigation Against Domestic Violence Survivors, David Ward

Seattle Journal for Social Justice

No abstract provided.


Don’T Risk It; Wait Until She’S Sober, Patrick John White 2016 Seattle University School of Law

Don’T Risk It; Wait Until She’S Sober, Patrick John White

Seattle Journal for Social Justice

No abstract provided.


Let’S Talk About Sex: A Call For Guardianship Reform In Washington State, Sage Graves 2016 Seattle University School of Law

Let’S Talk About Sex: A Call For Guardianship Reform In Washington State, Sage Graves

Seattle Journal for Social Justice

No abstract provided.


Let’S Invest In People, Not Prisons: How Washington State Should Address Its Ex-Offender Unemployment Rate, Sara Taboada 2016 Seattle University School of Law

Let’S Invest In People, Not Prisons: How Washington State Should Address Its Ex-Offender Unemployment Rate, Sara Taboada

Seattle Journal for Social Justice

No abstract provided.


His Feminist Facade: The Neoliberal Co-Option Of The Feminist Movement, Anjilee Dodge, Myani Gilbert 2016 Seattle University School of Law

His Feminist Facade: The Neoliberal Co-Option Of The Feminist Movement, Anjilee Dodge, Myani Gilbert

Seattle Journal for Social Justice

No abstract provided.


Prostitution Policy: Legalization, Decriminalization And The Nordic Model, Ane Mathieson, Easton Branam, Anya Noble 2016 Seattle University School of Law

Prostitution Policy: Legalization, Decriminalization And The Nordic Model, Ane Mathieson, Easton Branam, Anya Noble

Seattle Journal for Social Justice

No abstract provided.


Living Under The Boot: Militarization And Peaceful Protest, Charlotte Guerra 2016 Seattle University School of Law

Living Under The Boot: Militarization And Peaceful Protest, Charlotte Guerra

Seattle Journal for Social Justice

No abstract provided.


Persistence And Resistance: Women’S Leadership And Ending Gender-Based Violence In Guatemala, Serena Cosgrove, Kristi Lee 2016 Seattle University

Persistence And Resistance: Women’S Leadership And Ending Gender-Based Violence In Guatemala, Serena Cosgrove, Kristi Lee

Seattle Journal for Social Justice

No abstract provided.


Out On A Limb: Support For A Limited Version Of Collective Scienter, Matt McCabe 2016 St. John's University School of Law

Out On A Limb: Support For A Limited Version Of Collective Scienter, Matt Mccabe

St. John's Law Review

No abstract provided.


Collateral Damage: The Legal And Regulatory Protections For Customer Margin In The U.S. Derivatives Markets, Christian Chamorro-Courtland 2016 College of William & Mary Law School

Collateral Damage: The Legal And Regulatory Protections For Customer Margin In The U.S. Derivatives Markets, Christian Chamorro-Courtland

William & Mary Business Law Review

This Article provides a detailed analysis ofthe laws and regulations that apply to margin posted by customers entering into futures and cleared swaps contracts in the United States. It describes the types ofmargin accounts used by Futures Commission Merchants (“FCM”) and Central Counterparties (“CCPs”). It analyzes the rights of customers upon the insolvency of their FCM.

First, this Article explains why futures customers currently receive a lower level of protection under the Commodity Exchange Act than that received by cleared swaps customers under the Dodd-Frank Act. On the one hand, futures customers currently share risk as co-owners for margin that ...


Credit Default Swaps And The Empty Creditor Hypothesis—If It Ain’T Broke, Don’T Fix It, Florian Gamper 2016 Pepperdine University

Credit Default Swaps And The Empty Creditor Hypothesis—If It Ain’T Broke, Don’T Fix It, Florian Gamper

The Journal of Business, Entrepreneurship & the Law

An empty creditor is a creditor who, through the use of derivatives, especially credit default swaps (CDSs), takes a position where she retains the legal rights of a creditor but has little or no economic exposure to a borrower. Thus far, the debate on empty creditors has focused mainly on how the law should react to the perceived problem of empty creditors. The debate also covers the prominent argument that empty creditors violate the underlying corporate law assumption that creditors and shareholders hold their legal rights in proportion to their economic exposure to a company. This article argues that the ...


Real Estate Crowdfunding – Modern Trend Or Restructured Investment Model?: Have The Sec’S Proposed Rules On Crowdfunding Created A Closed-Market System?, Cory Baker 2016 Pepperdine University

Real Estate Crowdfunding – Modern Trend Or Restructured Investment Model?: Have The Sec’S Proposed Rules On Crowdfunding Created A Closed-Market System?, Cory Baker

The Journal of Business, Entrepreneurship & the Law

Crowdfunding is one of the fastest growing and most controversial segments of online purchasing and investing. Crowdfunding projects have been increasingly geared towards real estate development and are changing the scope of investment by enabling developers to solicit securities-based funding from the public. When the Securities and Exchange Commission (SEC) proposed its rules to allow crowdfunding under the Jumpstart Our Business Startups (JOBS) Act, it raised the issue of whether crowdfunding would be a viable option for building and owning large-scale projects. Offering developers new ways to finance projects, small investors a way in, and the socially conscious an avenue ...


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