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Articles 1 - 9 of 9
Full-Text Articles in Law
Reconciling Disjunct Cryptocurrency Securities Enforcement With Purchaser Expectations, Jacob E. Simmons
Reconciling Disjunct Cryptocurrency Securities Enforcement With Purchaser Expectations, Jacob E. Simmons
Seattle University Law Review
The Southern District of New York’s July 2023 decision in SEC v. Ripple Labs, Inc. has been touted as a monumental win for cryptocurrency purchasers and related businesses. The Ripple court held that, except institutional investor transactions, all sales of Ripple’s XRP token were not investment contracts, a class of security subject to federal securities law. The court’s ruling meant that Ripple could not be held liable for the unregistered trading of XRP beyond its sales to institutional investors. Ripple adds new insights to a pervasive policymaking dilemma addressed in this Note: is the Securities and Exchange Commission’s (SEC) regulatory …
The Sec, The Supreme Court, And The Administrative State, Paul G. Mahoney
The Sec, The Supreme Court, And The Administrative State, Paul G. Mahoney
Seattle University Law Review
Pritchard and Thompson have given those of us who study the SEC and the securities laws much food for thought. Their methodological focus is on the internal dynamics of the Court’s deliberations, on which they have done detailed and valuable work. The Court did not, however, operate in a vacuum. Intellectual trends in economics and law over the past century can also help us understand the SEC’s fortunes in the federal courts and make predictions about its future.
The Extraterritorial Reach Of Section 10(B): A Wolf Hunt Off Wall Street, Radley Gillis
The Extraterritorial Reach Of Section 10(B): A Wolf Hunt Off Wall Street, Radley Gillis
Emory Law Journal
Born to combat the market effects of the Great Depression, the Securities Exchange Act of 1934 protects American investors and maintains American confidence in the U.S. securities market. These objectives are largely accomplished through the imposition of liability from Section 10(b) of the Securities Exchange Act and the SEC’s Rule 10b-5. These federal laws impose civil and criminal penalties for domestic insider trading and securities fraud violations. Because Section 10(b) and Rule 10b-5 only apply domestically, when securities violations occur both within the United States and abroad, the reach of federal law becomes questionable, leaving federal courts with a complex …
The Proper Reach Of Territorial Jurisdiction: A Case Study Of Divergent Attitudes, Philippe Schreiber
The Proper Reach Of Territorial Jurisdiction: A Case Study Of Divergent Attitudes, Philippe Schreiber
Georgia Journal of International & Comparative Law
No abstract provided.
Buying Voice: Financial Rewards For Whistleblowing Lawyers, Nancy J. Moore, Kathleen Clark
Buying Voice: Financial Rewards For Whistleblowing Lawyers, Nancy J. Moore, Kathleen Clark
Nancy J Moore
“Buying Voice: Financial Incentives for Whistleblowing Lawyers”
Kathleen Clark and Nancy J. Moore
Abstract
The federal government relies increasingly on whistleblowers to ferret out fraud, and has awarded whistleblowers over $4 billion under the False Claims Act and the Dodd-Frank Wall Street reform and Consumer Protection Act. May lawyers ethically seek whistleblower rewards under these federal statutes? A handful of lawyers have tried to do so as FCA qui tam relators. They have not yet succeeded, but several court decisions suggest that they might be able to do so under confidentiality exceptions to state ethics law, which several courts have …
The Sarbanes-Oxley Act Of 2002: Are Stricter Internal Controls Constricting International Companies?, Jennifer K. Coalson
The Sarbanes-Oxley Act Of 2002: Are Stricter Internal Controls Constricting International Companies?, Jennifer K. Coalson
Georgia Journal of International & Comparative Law
No abstract provided.
Regulatory Conflicts: International Tender And Exchange Offers In The 1990s, John C. Maguire
Regulatory Conflicts: International Tender And Exchange Offers In The 1990s, John C. Maguire
Pepperdine Law Review
No abstract provided.
The Irrelevance Of State Corporate Law In Governance Of Public Companies, J. Robert Brown Jr.
The Irrelevance Of State Corporate Law In Governance Of Public Companies, J. Robert Brown Jr.
University of Richmond Law Review
No abstract provided.
Choice Of Federal Or State Law For Attorneys' Professional Responsibility In Securities Matters, Ted J. Fiflis
Choice Of Federal Or State Law For Attorneys' Professional Responsibility In Securities Matters, Ted J. Fiflis
Publications
Professional standards of duty are implicated in the federal securities laws in two types of cases: those instituted by the SEC to impose sanctions for lack of character or unethical conduct and those brought by the SEC or private parties for violations of substantive provisions of the securities laws. The question faced by Professor Fiflis is whether state or federal standards should define the duties imposed under these laws. He argues that the proper method of resolving this question is to apply an interest analysis. Analyzing the various state and federal interests leads Professor Fiflis to the conclusion that federal …