Law Commons^™

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 …

Outsider Trading On Confidential Information: A Breech In Search Of A Duty, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

Transcript Of The Roundtable On Insider Trading: Law, Policy And Theory After O'Hagan, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

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

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

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

William & Mary Law Review

No abstract provided.

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

Indiana Journal of Global Legal Studies

No abstract provided.

Legal Developments In The Electronic Securities Markets: Online Trading Systems And The Use Of Websites For Offshore Internet Offers, David A. Westbrook, Brandon Becker, Lyle Roberts

Contributions to Books

Published as Chapter 22 in Securities Law & The Internet 1998: Doing Business In a Rapidly Changing Marketplace, Stephen J. Schulte, Michelle C. Wallach & Brandon Becker, eds.

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

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

BYU Law Review

No abstract provided.

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 …

The Challenge To Financial Regulators Posed By Social Security Privatization, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

Comparative Investor Education, James A. Fanto

Faculty Scholarship

No abstract provided.

Creating Law At The Securities And Exchange Commission: The Lawyer As Prosecutor, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

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.

Alternativas De Financiación De La Empresa (Ii), Martin Paolantonio

Martin Paolantonio

Segunda parte del análisis de las alternativas legales para la implementación de decisiones financieras

Alternativas De Financiación De La Empresa (I), Martin Paolantonio

Martin Paolantonio

Primera parte del análisis de estructuras legales y decisiones financieras de la empresa

Abuso De Derecho Y Abuso De Posición Dominante, Martin Paolantonio, Salvador Bergel

Martin Paolantonio

Análisis de la relación entre el concepto genérico de abuso de derecho y el de abuso de posición dominante del derecho de defensa de la competencia

Consideraciones Sobre El Contrato De Factoring En La Argentina, Martin Paolantonio

Martin Paolantonio

Análisis de las principales cuestiones sobre el contrato de factoring considerando su carácter de contrato atípico, la integración con las normas sobre cesión de derechos y la Convención Unidroit. Conveniencia y límites de una regulación expresa del contrato de factoring.

Covenants Y Responsabilidad Civil De Las Entidades Financieras, Martin Paolantonio

Martin Paolantonio

Un análisis de la función de los covenants en la contratación financiera, con referencia a algunos supuestos particulares susceptibles de generar responsabilidad civil para las entidades financieras

El Control Judicial De Las Cláusulas Predispuestas Y Un Fallo Ejemplar, Martin Paolantonio

Martin Paolantonio

Nota a un fallo que declara la ineficacia de una cláusula en el contrato de tarjeta de crédito que permitía su extinción en cualquier tiempo y sin causa por el banco emisor

La Indicación Del Lugar De Pago En El Pagaré, Martin Paolantonio

Martin Paolantonio

Breve nota a fallo en materia de interpretación de la exigencia legal de indicación del lugar de pago en el pagaré y su modalidad de inclusión en el documento

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

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

Florida State University Journal of Transnational Law & Policy

No abstract provided.

Regulating The Use Of The Internet In Securities Markets, Jane Kaufman Winn

Articles

As use of the Internet and other new technologies in securities continues to expand, the U.S. Securities and Exchange Commission and self-regulatory organizations (SROs) within the securities industry have continued their efforts to adapt their existing regulations to these developments. Although regulators in the United States have provided guidance to market participants on many issues, many other important questions under U.S. securities law remain unanswered.

Guidance regard to securities law in other jurisdictions is almost non-existent, though transnational organizations, such as the International Organization of Securities Commissions (IOSCO), are working to remedy this situation. I

n 1997 and 1998, the …

Fraud And Federalism: Preempting Private State Securities Fraud Causes Of Action, Michael A. Perino

Faculty Publications

The passage of the Private Securities Litigation Reform Act of 1995 has engendered a significant forum shift in class action securities fraud litigation, from federal to state court. This unintended by-product of the Act has reignited debate over our dual federal-state system of securities regulation and in turn has inspired a discussion as to whether Congress should now preempt state securities fraud causes of action. This article argues that preemption is an appropriate, but not the only, solution to these concerns. To support this argument, this article first traces the history of dual state-federal securities regulation within the context of …