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Full-Text Articles in Law
The Other Securities Regulator: A Case Study In Regulatory Damage, Anita Krug
The Other Securities Regulator: A Case Study In Regulatory Damage, Anita Krug
All Faculty Scholarship
Although the Securities and Exchange Commission is the primary securities regulator in the United States, the Department of Labor also engages in “securities regulation.” It does so by virtue of its authority to administer the Employee Retirement Income Security Act (ERISA), the statute that governs the investment of retirement assets. In 2016, the DOL used its securities regulatory authority to adopt a rule that, for the first time, designates securities brokers who provide investment advice to retirement investors as fiduciaries subject to ERISA’s stringent transaction prohibitions. The new rule’s objective is salutary, to be sure. However, this Article shows that, …
Finance In The Courtroom: Appraising Its Growing Pains, Eric L. Talley
Finance In The Courtroom: Appraising Its Growing Pains, Eric L. Talley
Faculty Scholarship
This short essay provides an overview of the current state of finance in corporate law, emphasizing its role in a series of pending appraisal cases at the Delaware Supreme Court.