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Articles 121 - 147 of 147

Full-Text Articles in Banking and Finance Law

After The Argentine Crisis: Can The Imf Prevent Corruption In Its Lending? A Model Approach, Juan Carlos Linares Jan 2005

After The Argentine Crisis: Can The Imf Prevent Corruption In Its Lending? A Model Approach, Juan Carlos Linares

Richmond Journal of Global Law & Business

No abstract provided.

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Examining The Merits Of Dual Regulation For Single-Stock Futures: How The Divergent Insider Trading Regimes For Federal Futures And Securities Markets Demonstrate The Necessity For (And Virtual Inevitability Of) Dual Cftcsec Regulation For Single-Stock Futures, Zachary T. Knepper Dec 2004

Examining The Merits Of Dual Regulation For Single-Stock Futures: How The Divergent Insider Trading Regimes For Federal Futures And Securities Markets Demonstrate The Necessity For (And Virtual Inevitability Of) Dual Cftcsec Regulation For Single-Stock Futures, Zachary T. Knepper

The University of New Hampshire Law Review

[Excerpt] "Single-stock futures are a recent addition to the financial landscape in the United States and provide retail and institutional investors with a new tool for investment or speculation. So far, the market response to these instruments has been cool. Some observers have argued that the regulatory framework for single-stock futures is a cause of the lack of investor interest. Single-stock futures are regulated by both the Commodities Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”), and this system of dual regulation has been criticized as overly burdensome and unnecessary."

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The Third Annual Albert A. Destefano Lecture On Corporate Securities & Financial Law, Kenneth M. Rosen, William Michael Treanor, Jill E. Fisch, Brandon Becker, Robert Colby, Richard Ketchum, Andrew Klein, Catherine Mcguire, Annette Nazareth, Lee A. Pickard Jan 2004

The Third Annual Albert A. Destefano Lecture On Corporate Securities & Financial Law, Kenneth M. Rosen, William Michael Treanor, Jill E. Fisch, Brandon Becker, Robert Colby, Richard Ketchum, Andrew Klein, Catherine Mcguire, Annette Nazareth, Lee A. Pickard

Fordham Journal of Corporate & Financial Law

No abstract provided.

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Regulation Fd-Fairly Disruptive? An Increase In Capital Market Inefficiency, Peter Talosig Iii Jan 2004

Regulation Fd-Fairly Disruptive? An Increase In Capital Market Inefficiency, Peter Talosig Iii

Fordham Journal of Corporate & Financial Law

No abstract provided.

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Breaking The Market's Dependence On Independence: An Alternative To The "Independent" Outside Auditor, Peter Km Chan Jan 2004

Breaking The Market's Dependence On Independence: An Alternative To The "Independent" Outside Auditor, Peter Km Chan

Fordham Journal of Corporate & Financial Law

No abstract provided.

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Shareholder Proxy Access To The Ballot: What Will Be The Implications Of The Sec's Proposed Shareholder Access Rule If It Is Adopted From Governance, Implementation And A Public Perspective?, Bryan J. Shea Jan 2004

Shareholder Proxy Access To The Ballot: What Will Be The Implications Of The Sec's Proposed Shareholder Access Rule If It Is Adopted From Governance, Implementation And A Public Perspective?, Bryan J. Shea

Seton Hall University Dissertations and Theses (ETDs)

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Standing Up To Wall Street (And Congress), Richard W. Painter May 2003

Standing Up To Wall Street (And Congress), Richard W. Painter

Michigan Law Review

In 1992, Arthur Levitt co-chaired a fundraising dinner for William Clinton. The dinner raised $750,000 (p. 7). Clinton was elected President, and Levitt got the job he wanted: Chairman of the Securities and Exchange Commission. Levitt, a former Chairman of the American Stock Exchange and a connected Democrat, was well qualified for the job. His, however, became a pyrrhic victory when accountants, issuers, broker-dealers, and other special interests used their own political connections to frustrate just about everything he sought to do. Levitt tells the story of his struggle against these well-funded interests in Take on the Street. One of …

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Rebuilding Accountability In The Boardroom, Stephen M. Davis Jan 2003

Rebuilding Accountability In The Boardroom, Stephen M. Davis

Richmond Journal of Global Law & Business

No abstract provided.

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A Tangled Web: Compliance Director Liability Under The Securities Laws, Anthony Pirraglia Jan 2003

A Tangled Web: Compliance Director Liability Under The Securities Laws, Anthony Pirraglia

Fordham Journal of Corporate & Financial Law

No abstract provided.

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Disclosure Of The Irrelevant? –Impact Of The Sec’S Final Proxy Voting Disclosure Rules, Brian D. Stewart Jan 2003

Disclosure Of The Irrelevant? –Impact Of The Sec’S Final Proxy Voting Disclosure Rules, Brian D. Stewart

Fordham Journal of Corporate & Financial Law

No abstract provided.

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Multinational Enforcement Of U.S. Securities Laws: The Need For The Clear And Restrained Scope Of Extraterritorial Subject-Matter Jurisdiction., Kun Young Chang Jan 2003

Multinational Enforcement Of U.S. Securities Laws: The Need For The Clear And Restrained Scope Of Extraterritorial Subject-Matter Jurisdiction., Kun Young Chang

Fordham Journal of Corporate & Financial Law

No abstract provided.

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Corporate Responsibility And The Regulation Of Corporate Lawyers, James M. Mccauley Jan 2003

Corporate Responsibility And The Regulation Of Corporate Lawyers, James M. Mccauley

Richmond Journal of Global Law & Business

On July 30, 2002, in an effort to demonstrate to the American public a resolve to crack down on corporate scandals such as Enron, Adelphia, WorldCom, and Global Crossing, President Bush signed into law the “Sarbanes-Oxley Act of 2002”. Proclaiming that the new law will restore investor confidence, reform the oversight of public accounting and increase the transparency of corporate financial statements…

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The Heartland Funds’ Receivership And Its Implications For Independent Mutual Fund Directors, Jeffrey J. Haas, Steven R. Howard Jan 2002

The Heartland Funds’ Receivership And Its Implications For Independent Mutual Fund Directors, Jeffrey J. Haas, Steven R. Howard

Articles & Chapters

No abstract provided.

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Building A Strong Subnational Debt Market, Paul S. Maco Jan 2001

Building A Strong Subnational Debt Market, Paul S. Maco

Richmond Journal of Global Law & Business

Decentralization of responsibility for finance and growing infrastructure needs are two trends that are expected to stimulate a growth in government borrowing at the sub-national level. Statistics for the first half of 2000 show a significant increase in sub-national debt volume, with global public finance, excluding Canada and the United States, more than doubling that of the first half of 1999.

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A Tribute To Sec Chairman Arthur Levitt: Inaugural A.A. Sommer, Jr. Lecturer In Corporate Securities & Financial Law, John D. Ferrick Jan 2001

A Tribute To Sec Chairman Arthur Levitt: Inaugural A.A. Sommer, Jr. Lecturer In Corporate Securities & Financial Law, John D. Ferrick

Fordham Journal of Corporate & Financial Law

No abstract provided.

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Costs Paid With Other People's Money - Inaugural Address, A.A. Sommer, Jr. Annual Lecture In Corporate, Securities & Financial Law, Arthur Levitt Jan 2001

Costs Paid With Other People's Money - Inaugural Address, A.A. Sommer, Jr. Annual Lecture In Corporate, Securities & Financial Law, Arthur Levitt

Fordham Journal of Corporate & Financial Law

No abstract provided.

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The Resolution Of Securities Disputes, Constantine N. Katsoris Jan 2001

The Resolution Of Securities Disputes, Constantine N. Katsoris

Fordham Journal of Corporate & Financial Law

No abstract provided.

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The Sec's "Fair Value" Standard For Mutual Fund Investment In Restricted Shares And Other Illiquid Securities , Janet Kiholm Smith Dr. Jan 2001

The Sec's "Fair Value" Standard For Mutual Fund Investment In Restricted Shares And Other Illiquid Securities , Janet Kiholm Smith Dr.

Fordham Journal of Corporate & Financial Law

No abstract provided.

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Internet Casinos: A Sure Bet For Money Laundering, Jon L. Mills Oct 2000

Internet Casinos: A Sure Bet For Money Laundering, Jon L. Mills

UF Law Faculty Publications

Since the end of World War II, American society has seen the emergence of technology promising to make life easier, better and longer lasting. The more recent explosion of the Internet is fulfilling the dreams of the high-tech pundits as it provides global real-time communication links and makes the world's knowledge universally available. Privacy concerns surrounding the develop-ment of the Internet have mounted, and in response, service providers and web site operators have enabled web users to conduct transactions in nearly complete anonymity. While anonymity respects individual privacy, anonymity also facilitates criminal activities needing secrecy. One such activity is money …

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The Misappropriation Theory Under The Chinese Securities Law - A Comparative Study With Its U.S. Counterpart, Wenyan Ma Jan 2000

The Misappropriation Theory Under The Chinese Securities Law - A Comparative Study With Its U.S. Counterpart, Wenyan Ma

Richmond Journal of Global Law & Business

The first stock exchange in China, the Shanghai Stock Exchange, opened n December 1990. Since then, China’s securities market has been a journey of unprecedented development. However, the fledgling securities market is troubled by rampant securities fraud, evidence by Chinese officials’ open admission that investment in China’s securities market is very risky because of fraud and corruption. After a tortuous six-year drafting process, on December 29, 1998, the Chinese parliament passed the country’s first national Securities Law (“the Chinese Securities Law”), hoping to regulate the overwhelming fraud and corruption in China’s securities market. The Chinese Securities Law devoted one entire …

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Trends In The Regulation Of Investment Companies And Investment Advisers, Tamar Frankel Jan 1999

Trends In The Regulation Of Investment Companies And Investment Advisers, Tamar Frankel

Faculty Scholarship

Statutes, rules and enforcement actions are tea leaves we can read to predict future trends of mutual fund regulation. While statutes and rules are specific, the trends they signify are far more speculative. This Essay engages in such speculation to envision the long-term implications of the recent new N- 1A disclosure form, I the plain English Rule,2 and the profile. 3 More generally, the Essay speculates on future trends in Securities and Exchange Commission ("Commission") enforcement, and predicts a continued and stronger use of informal enforcement by the Commission.

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Institutional Investors: Agents Of Change, James E. Heard Jan 1997

Institutional Investors: Agents Of Change, James E. Heard

Fordham Journal of Corporate & Financial Law

No abstract provided.

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Securities Market And Securities Regulations In China, Fengxia Dai Jan 1997

Securities Market And Securities Regulations In China, Fengxia Dai

LLM Theses and Essays

China is a large developing country with a socialist ideology that is currently undergoing a period of reform and transformation. In December 1990, China opened its first national securities market - the Shanghai Securities Exchange. This was soon followed in November 1991 by the first special shares denominated in foreign currencies and sold only to overseas investors. These important steps in the development of China’s securities industry indicate commitment by Chinese authorities to the two key components of the nation’s economic reform program - economic systemic reform, and opening to the outside world. China’s securities market and securities regulations contain …

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The Bespeaks Caution Doctrine: Revisiting The Application Of Federal Securities Law To Opinions And Estimates, Royce De R. Barondes Jan 1994

The Bespeaks Caution Doctrine: Revisiting The Application Of Federal Securities Law To Opinions And Estimates, Royce De R. Barondes

Faculty Publications

Disclosure of estimates and opinions, which are often referred to as ‘soft information,‘ has presented a number of difficult issues to courts, the Securities and Exchange Commission (SEC) and companies issuing offering materials or required to file periodic reports with the SEC. Although this type of information often consists of projections, historical financial statements also include this type of information to varying degrees. For example, a bank's statement of financial position requires specification of loan loss reserves and is therefore dependent on an assessment of future events (the timing and extent of repayment). Similarly, determination of the timing of a …

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The Pros And Cons Of A Self-Regulatory Organization For Advisers And Mutual Funds, Tamar Frankel Jan 1994

The Pros And Cons Of A Self-Regulatory Organization For Advisers And Mutual Funds, Tamar Frankel

Faculty Scholarship

Congress is seriously considering bills to establish self-regulatory organizations (SROs) for investment advisers (advisers) and investment companies (Funds). These bills would require members of the investment management industry to regulate themselves under the watchful eye of the Securities and Exchange Commission, similar in approach to the regulation of broker-dealers by the National Association of Securities Dealers, Inc. (NASD) and the securities exchanges. Proposals to establish SRO for investment advisers have arisen before. However, those proposals did not cover Funds and their advisers,

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Foreign Bank Participation In The United States Capital Markets: A Legal Perspective, Roger M. Zaitzeff Jan 1986

Foreign Bank Participation In The United States Capital Markets: A Legal Perspective, Roger M. Zaitzeff

Touro Law Review

No abstract provided.

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Limitations On Defenses Under 10 (B): In Pari Delicto And Unclean Hands, G. Andrew Nea Jr. Jan 1971

Limitations On Defenses Under 10 (B): In Pari Delicto And Unclean Hands, G. Andrew Nea Jr.

University of Richmond Law Review

The evolution 'and development of the corporate conglomerate has been the most significant factor in the growth of twentieth century American enterprise. Corporate growth has far outdistanced that of alternative forms of business. The purchase and sale of an increasing volume of corporate securities has permitted management to raise impressive quantities of capital, and has allowed numerous investors to share in the profits realized from the judicious use of their funds.

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