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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 ...


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 ...


The Conscious Parallelism Of Wolf Packs: Applying The Antitrust Conspiracy Framework To Section 13(D) Activist Group Formation, William R. Tevlin 2016 Fordham University School of Law

The Conscious Parallelism Of Wolf Packs: Applying The Antitrust Conspiracy Framework To Section 13(D) Activist Group Formation, William R. Tevlin

Fordham Law Review

Section 13(d) of the Williams Act requires all persons and groups that acquire 5 percent or more of an issuer’s outstanding stock to disclose their holdings to the Securities and Exchange Commission. Whether a group is formed under section 13(d) often is unclear. The legal precedent is ambiguous; courts give more weight to certain forms of circumstantial evidence than others without explaining why. With the substantial increase of hedge fund activism—in particular, the wolf pack tactic—further clarity or uniformity is necessary. A “wolf pack” is a loose association of hedge funds that employs parallel activist ...


Security Interests In Book-Entry Securities In Japan: Should Japanese Law Embrace Perfection By Control Agreement And Security Interests In Securities Accounts?, Kumiko Koens, Charles W. Mooney Jr. 2016 Yamagata University

Security Interests In Book-Entry Securities In Japan: Should Japanese Law Embrace Perfection By Control Agreement And Security Interests In Securities Accounts?, Kumiko Koens, Charles W. Mooney Jr.

Faculty Scholarship

The paper proposes two significant modifications of Japan’s Act on Transfer of Bonds, Shares, etc. (BETA). First, it suggests the control agreement method of transferring an interest in securities that is effective against third parties. Under the BETA, the creation of an effective interest in book-entry securities requires book entries in the securities accounts of the transferor and the transferee. Under the control agreement approach, the transferor, transferee, and the transferor’s securities intermediary would agree that (i) the intermediary would act on the instructions of the transferee with respect to securities credited to the transferor’s securities account ...


Over-The-Counter Derivatives In A Global Financial Marketplace: The Case For Uniform Global Identifiers And Compatible Reporting Requirements In Substituted Compliance Comparability Determinations, Kimberly R. Thomasson 2016 The Catholic University of America, Columbus School of Law

Over-The-Counter Derivatives In A Global Financial Marketplace: The Case For Uniform Global Identifiers And Compatible Reporting Requirements In Substituted Compliance Comparability Determinations, Kimberly R. Thomasson

Catholic University Law Review

The 2008 financial crisis prompted a global regulatory overhaul of over-the-counter derivative markets. The Dodd-Frank Act mandated the CFTC and SEC to issue new rules and regulations to bring the majority of the OTC derivative market out of the dark on onto regulated exchanges. Similar action was taken in the European Union and other G20 nations. There has been a push to harmonize rules for OTC derivatives across jurisdictions to make the market more efficient and eliminate regulatory arbitrage. This Comment focuses on the process for a regulated entity in the US and EU to “substitute compliance” with its home ...


Helping Yourself While Serving Two Masters: Do Specialists Violate Rule 10b-5 When They Interposition?, Roman Asudulayev 2016 Fordham University School of Law

Helping Yourself While Serving Two Masters: Do Specialists Violate Rule 10b-5 When They Interposition?, Roman Asudulayev

Fordham Urban Law Journal

The decision of the Second Circuit in United States v. Finnerty (Finnerty III) was the culmination of a number of District Court decisions that found that specialists on the New York Stock Exchange (NYSE) could not be held liable for fraud under Rule 10b-5 for interpositioning, whereby they put themselves between buy and sell limit orders, in violation of NYSE rules, and profited on the spread. Finnerty III and its District Court sibling decisions were wrongly decided. Specialists presented a uniquely thorny issue of agency law to the Federal Courts in New York. This issue was under-analyzed by the Federal ...


Sec's Ultra Vires Recognition Of The Fasb.Pdf, Wm. Dennis Huber 2016 Capella University

Sec's Ultra Vires Recognition Of The Fasb.Pdf, Wm. Dennis Huber

Wm. Dennis Huber

The Sarbanes-Oxley Act of 2002 conferred upon the Securities and Exchange
Commission (“SEC”) the authority to recognize as “‘generally accepted’
for purposes of the securities laws, any accounting principles established
by a standard setting body” provided that the standard setting body
met certain conditions. Two weeks after the Sarbanes-Oxley Act was
signed into law in July, 2002 the Financial Accounting Standards Board
(“FASB”) and its parent organization, the Financial Accounting Foundation,
submitted a letter to the SEC declaring that it met the conditions set
forth in the Sarbanes-Oxley Act. Eight months later, in April, 2003 the SEC
issued a policy ...


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