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Articles 1 - 8 of 8
Full-Text Articles in Law
Operational Autonomy And Public Accountability In Statutory Corporations: A Case Study Of Ghana’S Development Experience And A Blueprint For Reform, E. A. Botchwey
Georgia Journal of International & Comparative Law
No abstract provided.
Out On A Limb: Support For A Limited Version Of Collective Scienter, Matt Mccabe
Out On A Limb: Support For A Limited Version Of Collective Scienter, Matt Mccabe
St. John's Law Review
(Excerpt)
This Note argues that the correct approach to imputing scienter to a corporation by means of the collective scienter theory is through the absurdity analysis taken by the United States Court of Appeals for the Seventh Circuit.
Why Now Is The Time To Statutorily Ban Insider Trading Under The Equality Of Access Theory, Bruce W. Klaw
Why Now Is The Time To Statutorily Ban Insider Trading Under The Equality Of Access Theory, Bruce W. Klaw
William & Mary Business Law Review
This Article makes the case for a new U.S. statutory provision that defines and prohibits insider trading under an equality of access theory. It supports this claim, and contributes to the important public dialogue concerning this prevalent practice, by highlighting the moral and legal gaps in existing U.S. law that result from understanding the harms of trading on the basis of material nonpublic information solely with reference to fiduciary breach or misappropriation, as evidenced by the recent cases of United States v. Newman and United States v. Salman. It weaves legal analysis together with current literature in business ethics, moral …
Rebutting The Fraud On The Market Presumption In Securities Fraud Class Actions: Halliburton Ii Opens The Door, Victor E. Schwartz, Christopher E. Appel
Rebutting The Fraud On The Market Presumption In Securities Fraud Class Actions: Halliburton Ii Opens The Door, Victor E. Schwartz, Christopher E. Appel
Michigan Business & Entrepreneurial Law Review
In Halliburton Co. v. Erica P. John Fund, Inc. (Halliburton II), the United States Supreme Court reaffirmed the validity of the “fraud on the market” presumption underlying securities fraud class action litigation. This presumption is vital to bringing suits as class actions because it excuses plaintiffs from proving individual reliance on an alleged corporate misstatement on the theory that any public statements made by the company are incorporated into its stock price and consequently relied upon by all investors. Thus, the Court’s decision to uphold the validity of the presumption has been hailed as a significant victory for those …
Book Review Of "The Triumph, Tragedy And Lost Legacy Of James M. Landis: A Life On Fire" By Justin O'Brien, Duncan Farthing-Nichol
Book Review Of "The Triumph, Tragedy And Lost Legacy Of James M. Landis: A Life On Fire" By Justin O'Brien, Duncan Farthing-Nichol
Journal of Legal Education
No abstract provided.
Broker-Dealer Law Reform: Financial Intermediaries In A State Of Limbo, Alexander R. Tiktin
Broker-Dealer Law Reform: Financial Intermediaries In A State Of Limbo, Alexander R. Tiktin
Brooklyn Law Review
No abstract provided.
The Customer's Nonwaivable Right To Choose Arbitration In The Securities Industry, Jill I. Gross
The Customer's Nonwaivable Right To Choose Arbitration In The Securities Industry, Jill I. Gross
Brooklyn Journal of Corporate, Financial & Commercial Law
Arbitration has been the predominant form of dispute resolution in the securities industry since the 1980s. Virtually all brokerage firms include predispute arbitration agreements (PDAAs) in their retail customer contracts, and have successfully fought off challenges to their validity. Additionally, the industry has long mandated that firms submit to arbitration at the demand of a customer, even in the absence of a PDAA.
More recently, however, brokerage firms have been arguing that forum selection clauses in their agreements with sophisticated customers (such as institutional investors and issuers) supersede firms’ duty to arbitrate under FINRA Rule 12200. Circuit courts currently are …
An Overview Of The Sec's Whistleblower Award Program, Michael H. Hurwitz, Jonathan Kovacs
An Overview Of The Sec's Whistleblower Award Program, Michael H. Hurwitz, Jonathan Kovacs
Fordham Journal of Corporate & Financial Law
In 2010, Congress enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act in response to the stock market collapse and economic downturn as well as the Bernard Madoff scandal and other well-publicized frauds perpetrated against investors. Among its numerous provisions, the Dodd-Frank Act amended the Securities Exchange Act of 1934 to add a new section—Section 21F—entitled “Securities Whistleblower Incentives and Protection.” The Dodd- Frank Act also directed the Securities and Exchange Commission to establish an Office of the Whistleblower to administer the provisions of the new section. The Commission subsequently adopted regulations that went into effect on August 12, …