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Articles 1 - 22 of 22
Full-Text Articles in Law
The Political Economy Of Statutory Reach: U.S. Disclosure Rules In A Globalizing Market For Securities, Merritt B. Fox
The Political Economy Of Statutory Reach: U.S. Disclosure Rules In A Globalizing Market For Securities, Merritt B. Fox
Michigan Law Review
This Article addresses the appropriate reach of the U.S. mandatory securities disclosure regime. While disclosure obligations are imposed on issuers, they are triggered by transactions:- the public offering of, or public trading in, the issuers' shares. Share transactions are taking o n an increasingly transnational character. The barriers to a truly global market for equities continue to lessen: financial information is becoming increasingly globalized and it is becoming increasingly inexpensive and easy to effect share transactions abroad. There are approximately 41,000 issuers of publicly traded shares in the world. For an ever larger portion of these issuers, there will be …
Modern Partnership Interests As Securities: The Effect Of Rupa, Rulpa, And Llp Statutes On Investment Contract Analysis, James B. Porter
Modern Partnership Interests As Securities: The Effect Of Rupa, Rulpa, And Llp Statutes On Investment Contract Analysis, James B. Porter
Washington and Lee Law Review
No abstract provided.
Securities Fraud Or Mere Puffery: Refinement Of The Corporate Puffery Defense, R. Gregory Roussel
Securities Fraud Or Mere Puffery: Refinement Of The Corporate Puffery Defense, R. Gregory Roussel
Vanderbilt Law Review
A corporation's use of forward-looking corporate statements' is a common, arguably essential, element of the landscape of modern financial markets. Unfortunately, the failure to meet the expectations created by forward-looking statements often serves as the basis for a potentially devastating private action for securities fraud. Before Congress responded to frivolous private securities fraud class actions with the Private Securities Litigation Reform Act of 1995, ("Reform Act") the judiciary took it upon itself to provide relief to burdened corporations. In doing so, the courts focused on the materiality of the corporation's statements, an essential building block in the plaintiffs construction of …
United States V. O'Hagan: Recognition Of The Misappropriation Theory, Brian W. Morgan
United States V. O'Hagan: Recognition Of The Misappropriation Theory, Brian W. Morgan
Brigham Young University Journal of Public Law
No abstract provided.
From Horse Trading To Insider Trading: The Historical Antecedents Of The Insider Trading Debate, Paula J. Dalley
From Horse Trading To Insider Trading: The Historical Antecedents Of The Insider Trading Debate, Paula J. Dalley
William & Mary Law Review
No abstract provided.
Insider Trading And Family Values, Judith G. Greenberg
Insider Trading And Family Values, Judith G. Greenberg
William & Mary Journal of Race, Gender, and Social Justice
No abstract provided.
The Body As Commodity: The Use Of Markets To Cure The Organ Deficit, David E. Jefferies
The Body As Commodity: The Use Of Markets To Cure The Organ Deficit, David E. Jefferies
Indiana Journal of Global Legal Studies
No abstract provided.
The Rotten Foundations Of Securitization, David Gray Carlson
The Rotten Foundations Of Securitization, David Gray Carlson
William & Mary Law Review
No abstract provided.
Taking Another Look At The Regulation Of Mutual Funds In The Aftermath Of The Asian Financial Crisis, Thomas Krider
Taking Another Look At The Regulation Of Mutual Funds In The Aftermath Of The Asian Financial Crisis, Thomas Krider
Washington International Law Journal
This Comment analyzes the 1997 financial crisis in Asia and its effect on U.S. mutual fund investors. The crisis was most acute in, and this Comment focuses on, the countries of Thailand, Indonesia and South Korea. The lack of transparency in these countries led to substantial losses for U.S. investors whose money was in nontransparent organizations through their ownership of mutual funds. The International Monetary Fund responded to the Asian crisis with aid packages intended to prevent the insolvency of those countries in financial trouble. As part of the IMF's program, one of the primary requirements for receiving aid is …
There Should Be No Reliance In The "Blue Sky", David O. Blood
There Should Be No Reliance In The "Blue Sky", David O. Blood
BYU Law Review
No abstract provided.
Realigning Corporate Governance: Shareholder Activism By Labor Unions, Stewart J. Schwab, Randall S. Thomas
Realigning Corporate Governance: Shareholder Activism By Labor Unions, Stewart J. Schwab, Randall S. Thomas
Michigan Law Review
Labor unions are active again - but this time as capitalists. The potential strength of union pension funds has long been noted, but until recently unions have held their stock passively or invested in union-friendly companies. In the 1990s, however, unions have become the most aggressive of all institutional shareholders. In most cases, it is hard to find a socialist or proletarian plot in what unions are doing with their shares. Rather, labor activism is a model for any large institutional investor attempting to maximize return on capital. Unions, union pension funds, individual union members, and labor-oriented investment funds are …
Bridging The "Trade Secret" Gap: Protecting "Confidential Information" Not Rising To The Level Of Trade Secrets, Robert Unikel
Bridging The "Trade Secret" Gap: Protecting "Confidential Information" Not Rising To The Level Of Trade Secrets, Robert Unikel
Loyola University Chicago Law Journal
No abstract provided.
Rights And Remedies Of Shareholders In Closely Held Corporations Under Illinois Law, The, William R. Quinlan, John F. Kennedy
Rights And Remedies Of Shareholders In Closely Held Corporations Under Illinois Law, The, William R. Quinlan, John F. Kennedy
Loyola University Chicago Law Journal
No abstract provided.
Regulation S And Offshore Capital: Will The New Amendments Rid The Safe Harbor Of Pirates?, Jon B. Jordan
Regulation S And Offshore Capital: Will The New Amendments Rid The Safe Harbor Of Pirates?, Jon B. Jordan
Northwestern Journal of International Law & Business
This article will explain how the securities laws were prior to Regulation S as they applied to the offshore offer and sale of securities. The regulation as originally adopted and the brand new safe harbors it brought to the laws governing offshore offers and sales will also be explored. Then the subsequent regulatory abuses and concerns in the marketplace surrounding the regulation and the Commission's response to these issues will be discussed. The amendments to Regulation S which eventually served as the Commission's way of halting these problems and the changes they brought to the regulation will be laid out. …
Wall Street? Where We're Going We Don't Need Wall Street: Do Securities Regulators Stand A Chance In Cyberspace?, Neil D. Schwartz
Wall Street? Where We're Going We Don't Need Wall Street: Do Securities Regulators Stand A Chance In Cyberspace?, Neil D. Schwartz
Florida State University Journal of Transnational Law & Policy
No abstract provided.
United States V. O'Hagan: Defining The Limits Of Fraud And Deceptive Pretext Under Rule 10b-5, Theodore C. Mccullough
United States V. O'Hagan: Defining The Limits Of Fraud And Deceptive Pretext Under Rule 10b-5, Theodore C. Mccullough
Seattle University Law Review
This Note argues that broadening the present embezzlement model of the Rule 10b- 5 misappropriation theory will more fully reflect both the language and intent of § 10(b) (of the 1934 Securities Exchange Act) and Rule 10b-5, and more importantly accommodate the sophistication of today's insider trading schemes. Part II of this Note examines the uses of inside information both prior to and after the creation of the 1934 Securities Exchange Act, and how § 10(b) and Rule 10b-5 were created to proscribe these uses. Part III examines the language and intent behind § 10(b) and Rule 10b-5 and argues …
"Disclose-Or-Abstain" Without Restraint: The Supreme Court Misses The Mark On Rule 14e-3 In United States V. O'Hagan, E. Livingston B. Haskell
"Disclose-Or-Abstain" Without Restraint: The Supreme Court Misses The Mark On Rule 14e-3 In United States V. O'Hagan, E. Livingston B. Haskell
Washington and Lee Law Review
No abstract provided.
Theories Of The Corporation And The Limited Liability Company: How Should Courts And Legislatures Articulate Rules For Piercing The Veil, Fiduciary Responsibility And Securities Regulation For The Limited Liability Company, David L. Cohen
Oklahoma Law Review
No abstract provided.
Look Who's Talking: Defining The Scope Of The Misappropriation Theory After United States V. O'Hagan, Janet E. Kerr, Tor S. Sweeney
Look Who's Talking: Defining The Scope Of The Misappropriation Theory After United States V. O'Hagan, Janet E. Kerr, Tor S. Sweeney
Oklahoma Law Review
No abstract provided.
Notary Bonds And Insurance: Increasing The Protection For Consumers And Notaries, 31 J. Marshall L. Rev. 839 (1998), Michael J. Osty
Notary Bonds And Insurance: Increasing The Protection For Consumers And Notaries, 31 J. Marshall L. Rev. 839 (1998), Michael J. Osty
UIC Law Review
No abstract provided.
Securities Arbitration: A Clinical Experiment, Constantine N. Katsoris
Securities Arbitration: A Clinical Experiment, Constantine N. Katsoris
Fordham Urban Law Journal
This Article discusses the use of non-attorneys in representing such clients, as well as pro se representation by such claimants. It then describes the efforts of the Securities and Exchange Commission ("SEC") to ensure that such claimants have access to adequate and effective representation through the use of law school clinics. Finally, this Article raises numerous issues that must be considered before establishing such clinics, and concludes that proper planning and adjustment is necessary for a successful clinical program.
Should Labor Be Allowed To Make Shareholder Proposals?, Randall S. Thomas, Kenneth J. Martin
Should Labor Be Allowed To Make Shareholder Proposals?, Randall S. Thomas, Kenneth J. Martin
Washington Law Review
In this Article, we investigate whether labor unions and related entities should be permitted to continue to make shareholder proposals using Rule 14a-8 of the federal securities laws. We focus on the claim that labor is using the shareholder proposal mechanism to further the interests of workers at the expense of other shareholders. In particular, corporate management groups have suggested that when labor is involved in collective bargaining negotiations with management, it should be barred from submitting shareholder proposals because labor proposals seek to further interests not shared by other security holders of the company. Using data on shareholder proposals …