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Articles 1 - 13 of 13
Full-Text Articles in Law
Should Mandatory Written Opinions Be Required In All Securities Arbitrations?: The Practical And Legal Implications To The Securities Industry , Lynn Katzler
American University Law Review
No abstract provided.
Re-Engineering Corporate Disclosure:The Coming Debate Overcompany Registration, John C. Coffee, Jr.
Re-Engineering Corporate Disclosure:The Coming Debate Overcompany Registration, John C. Coffee, Jr.
Washington and Lee Law Review
Delivered as the 56th Annual John Randall Tucker Lecture on October 1, 2004
Resales Of Securities Under The Securities Act Of 1933, Rutheford B. Campbell, Jr.
Resales Of Securities Under The Securities Act Of 1933, Rutheford B. Campbell, Jr.
Washington and Lee Law Review
No abstract provided.
Broker-Dealer Sales Practice In Derivatives Transactions: A Survey And Evaluation Of Suitability Requirements, Daniel G. Schmedlen, Jr.
Broker-Dealer Sales Practice In Derivatives Transactions: A Survey And Evaluation Of Suitability Requirements, Daniel G. Schmedlen, Jr.
Washington and Lee Law Review
No abstract provided.
The Use Of Audited Self-Regulation As A Regulatory Technique, Douglas C. Michael
The Use Of Audited Self-Regulation As A Regulatory Technique, Douglas C. Michael
Law Faculty Scholarly Articles
At first blush, "self-regulation" seems to be self-contradicting. If government regulation of an industry or problem is considered necessary, how can that responsibility then be returned to those from whom it was taken? Notwithstanding this apparent contradiction, audited self-regulation is used successfully by federal regulatory agencies. It is apparently adopted, however, on an ad hoc basis: in one industry or application but not in another that possesses similar characteristics. This article reviews these previously uncollected efforts at audited self-regulation to evaluate the general usefulness of this regulatory technique across industries and applications. These insights would be relevant not only to …
Section 12(2) Of The Securities Act: Does Old Legislation Matter?, Steve Thel
Section 12(2) Of The Securities Act: Does Old Legislation Matter?, Steve Thel
Fordham Law Review
No abstract provided.
The Challenge Of Derivatives, Saul S. Cohen
Not Just For Widows & Orphans Anymore: The Inadequacy Of The Current Suitability Rules For The Derivatives Market, Jennifer A. Frederick
Not Just For Widows & Orphans Anymore: The Inadequacy Of The Current Suitability Rules For The Derivatives Market, Jennifer A. Frederick
Fordham Law Review
No abstract provided.
Leveling The Playing Field: The Need For Investor Protection For Bank Sales Of Loan Participations, Richard Y. Roberts, Randall W. Quinn
Leveling The Playing Field: The Need For Investor Protection For Bank Sales Of Loan Participations, Richard Y. Roberts, Randall W. Quinn
Fordham Law Review
No abstract provided.
Seeking Consistency In Judicial Review Of Securities Arbitration: An Analysis Of The Manifest Disregard Of The Law Standard, Michael P. O'Mullan
Seeking Consistency In Judicial Review Of Securities Arbitration: An Analysis Of The Manifest Disregard Of The Law Standard, Michael P. O'Mullan
Fordham Law Review
No abstract provided.
Punitive Power: Securities Arbitrators Need It, Darren C. Blum
Punitive Power: Securities Arbitrators Need It, Darren C. Blum
Nova Law Review
The major advantages of arbitration are that the disputes are resolved
more expeditiously and cost effectively than in court.
Not Just A Private Club: Self Regulatory Organizations As State Actors When Enforcing Federal Law, Richard L. Stone, Michael A. Perino
Not Just A Private Club: Self Regulatory Organizations As State Actors When Enforcing Federal Law, Richard L. Stone, Michael A. Perino
Faculty Publications
In the Securities Exchange Act of 1934, Congress enacted a comprehensive scheme for regulating the national securities markets. Pursuant to that scheme, the Securities and Exchange Commission was given ultimate authority to enforce the newly enacted securities laws against market participants. The Exchange Act also created a prominent enforcement role for national securities exchanges, like the New York Stock Exchange. Congress required these self-regulatory organizations as a condition for their continued operation to enforce, among other things, compliance by their members with the provisions of the Exchange Act and the rules and regulations promulgated thereunder. The SROs were also given …
Resales Of Securities Under The Securities Act Of 1933, Rutheford B. Campbell Jr.
Resales Of Securities Under The Securities Act Of 1933, Rutheford B. Campbell Jr.
Law Faculty Scholarly Articles
This Article explains the failings of the Securities and Exchange Commission in dealing with resales of securities and suggests an appropriate statutory and policy framework for a principled approach to the matter. Part I of this article is an introduction to this issue. Part II of this Article describes the present situation regarding the law of resales. Part III of this Article offers a series of broad observations about resales under the 1933 Act, suggests an economic analysis for the registration provisions of the 1933 Act, and presents some more specific recommendations concerning resale rules.