Securities Law Commons^™

State Takeover Laws: A Rebirth Of Corporationlaw?, David K. Millon

Washington and Lee Law Review

No abstract provided.

State Takeover Statutes: Constitutionality, Community, And Heresy, Lyman P. Q. Johnson

Washington and Lee Law Review

No abstract provided.

The Preexisting Relationship Doctrine Under Regulation D: A Rule Without Reason?, David B.H. Martin, Jr., L. Keith Parsons

Washington and Lee Law Review

No abstract provided.

Sec Release 1092 On The Investment Advisers Act Of 1940: Applicability Of The Investment Advisers Act To Financial Planners And Other Persons Who Provide Financial Services

Washington and Lee Law Review

No abstract provided.

Insider Trading Liability Of Tippees And Quasi-Insiders: Crime Shouldn't Pay, 22 J. Marshall L. Rev. 295 (1988), Robert J. Kuker

UIC Law Review

No abstract provided.

Interest Rate And Currency Swaps, Christian Droop

LLM Theses and Essays

This thesis explores the evolution, mechanics, and risks associated with interest rate and currency swaps, key financial instruments in global markets since the late 1970s. Swaps involve the exchange of predetermined payments in the same or different currencies between parties, aiming to leverage their financial capabilities and reduce transaction risks. By 1987, the volume of outstanding swap transactions exceeded $1.1 trillion, highlighting their significance in capital markets..

The thesis aims to present basic swap transactions, describe associated risks, and discuss current efforts to control these risks through regulatory and contractual measures, which focus on New York law. It also examines …

Capital Neutrality And Coordinated Supervision: Lessons For International Securities Regulation From The Law Of International Taxation And Banking, Charles Thelen Plambeck

Michigan Journal of International Law

Part I of this article provides some background on the legal forces which have influenced globalization and internationalization of the world's securities markets. Part II focuses on the international tax law principle of capital neutrality. Fundamentally, the principle of capital neutrality requires that regulations should not unintentionally direct the movement of capital. Part II analyzes the bases and parameters of the principle of capital neutrality, the experiences of international taxation in applying the principle to a globalizing economy, and the possibilities for applying the principle to international securities regulation. Part III focuses on the international banking law principle of coordinated …

Qualitative Standards For Qualified Securities: Sec Regulation Of Voting Rights, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

Blue-Sky Merit Regulation: Benefit To Investors Or Burden On Commerce, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

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

Touro Law Review

No abstract provided.

Involuntary Dissolution As A Remedy For Freeze-Outs Of Minority Shareholders: Two West Virginia Statutes, D. Christopher Wells

West Virginia Law Review

No abstract provided.

Performance Bonds, Bankers' Guarantees, And The Mareva Injunction, Peter S. O'Driscoll

Northwestern Journal of International Law & Business

Performance bonds and bankers' guarantees are common features of international sales and construction contracts. They figure prominently in contracts with buyers and employers in the Middle East. In recent years, the amounts represented by these instruments have grown so large that banks have begun to syndicate them in order to limit the exposure of any one bank. With so much at stake, it is imperative that traders, bankers, and lawyers understand the legal implications of performance bonds and bankers' guarantee agreements and the treatment of such agreements by the courts. This Comment will address some of the problems associated with …

The Mechanisms Of Market Efficiency, Ronald J. Gilson

Faculty Scholarship

Of all recent developments in financial economics, the efficient capital market hypothesis ("ECMH") has achieved the widest acceptance by the legal culture. It now commonly informs the academic literature on a variety of topics; it is addressed by major law school casebooks and textbooks on business law; it structures debate over the future of securities regulation both within and without the Securities and Exchange Commission; it has served as the intellectual premise for a major revision of the disclosure system administered by the Commission; and it has even begun to influence judicial decisions and the actual practice of law. In …

A Banker's Adventures In Brokerland: Looking Through Glass-Steagall At Discount Brokerage Services, Michigan Law Review

Michigan Law Review

Several banks have recently entered or announced their intention to enter the discount brokerage business, and the Federal Reserve Board is considering a rule listing discount brokerage as an acceptable bank holding company activity. The securities industry has contested this entry, asserting that the Glass-Steagall Act requires separation between investment and commercial banking. Though the Act does mandate some division between the two lines of business, this Note argues that bank discount brokerage services do not violate the Act. Part I examines the competing "accommodation" and "agency" interpretations of the relevant statutory sections, concluding that the agency interpretation, which permits …

Loan Participations: Are They "Securities"?, Dennis Scholl, Ronald L. Weaver

Florida State University Law Review

No abstract provided.

Tender Offer Developments In 1980

Washington and Lee Law Review

No abstract provided.

Commodity Market Manipulation, Philip Mcbride Johnson

Washington and Lee Law Review

No abstract provided.

An Introduction To The Rules And Regulations Governing National Banks And Their Use Of Financial Futures, Jack A. Barbanel

Washington and Lee Law Review

No abstract provided.

Rubin V. United States: Pledge Of Stock As Collateral For A Commercial Loan Is A "Sale" Of A Security

Washington and Lee Law Review

No abstract provided.

A Delicate Assignment: The Regulation Of Accountants By The Sec, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

Glass-Steagall: Some Critical Reflections, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

Ambivalent Reflections On Regulation, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

Santa Fe Industries, Inc. V. Green, Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.

Bank Securities Activities And The Need To Separate Trust Departments From Large Commercial Banks, Thomas J. Schoenbaum

University of Michigan Journal of Law Reform

This article (1) analyzes the traditional Glass-Steagall Act restrictions on banks and the leading case of Investment Company Institute v. Camp, where the Supreme Court held that the offering by commercial banks of commingled agency accounts violated the Glass-Steagall Act prohibition against underwriting securities, (2) considers the. developments since that decision, and (3) offers suggestions on an approach to devising solutions to the policy questions involved.

Liens--Priority Of Common Law Liens And Secured Interests In West Virginia, Willard Craig Broadwater

West Virginia Law Review

No abstract provided.

Municipal Bonds--The Need For Disclosure, Daniel R. Schuda

West Virginia Law Review

No abstract provided.

Gordon V. New York Stock Exchange, Inc. (Nyse), Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.

Judicial Control Of Cash Tender Offers-A Few Practical Recommendations, Ronald W. Oakes

Indiana Law Journal

No abstract provided.

Preparation Of Securities Act Registration Statements And Reports: Meeting The Obligation To Provide A Basis For Appraising The Prospective Impact Of Historical Financial Information, Lawrence Lederman

Articles & Chapters

No abstract provided.

Securities Regulation In Switzerland, Roger Dagon

Vanderbilt Journal of Transnational Law

The Swiss system of securities regulation, to the extent that it exists at all, is primarily a system of self-regulation. The basic company law, the Code des obligations of 1911, as amended, which enumerates the minimum disclosure requirements for public offerings of foreign or domestic debt securities and for public offerings of new shares of domestic corporations, represents the only formal regulation of corporate issues. The Code exempts secondary offerings of outstanding shares as well as initial issues of foreign shares. Secondary offerings of outstanding shares and issues of new foreign shares, however, must comply with the prospectus requirements established …