Securities Law Commons^™

Global Trends In Securities Regulation: The Changing Legal Climate, Dr. Barry A.K. Rider

Penn State International Law Review (1982 - 2011)

No abstract provided.

Protection Of Individual Investors Under U.S. Securities Laws: The Impact Of International Regulatory Competition, J. William Hicks

Indiana Journal of Global Legal Studies

No abstract provided.

Living With U.S. Regulations: Complying With The Rules And Avoiding Litigation, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

Barriers To Foreign Issuer Entry Into U.S. Markets, Roberta S. Karmel, Mary S. Head

Faculty Scholarship

No abstract provided.

The Second Circuit's Role In Expanding The Sec's Jurisdiction Abroad, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

The Brooklyn Law School -- New York Stock Exchange, Inc. Breakfast Roundtables, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

The Impact Of Technology On The Trading Of Securities: The Emerging Global Market And The Implications For Regulation, 24 J. Marshall L. Rev. 299 (1991), Lewis D. Solomon, Louise Corso

UIC Law Review

No abstract provided.

Case Digest, Law Review Staff

Vanderbilt Journal of Transnational Law

MEDICAL MALPRACTICE ABROAD BY UNITED STATES PHYSICIAN IN CONNECTION WITH DEPARTMENT OF STATE REGULATIONS GOVERNING TORT CLAIMS PROVIDED FOR AN INVESTIGATIVE PROCEDURE FOLLOWED BY AGENCY DECISION--AGENCY FOR INTERNATIONAL DEVELOPMENT HOLDS NO CONSTITUTIONAL OBLIGATIONS TO EVALUATE MEDICAL MALPRACTICE CLAIM ON THE MERITS AND IN ACCORD WITH MINIMAL DUE PROCESS. Tarpeh-Doe v. United States, 904 F.2d719 (D.C. Cir. 1990).

THE FOREIGN CORRUPT PRACTICES ACT DOES NOT CREATE AN IMPLIED PRIVATE RIGHT OF ACTION THAT KENTUCKY TOBACCO GROWERS COULD USE TO RECOVER DAMAGES FROM COMPANIES THAT ALLEGEDLY ENGAGED IN CORRUPT PRACTICES TO THE DETRIMENT OF GROWERS. THE ACT OF STATE DOCTRINE, HOWEVER, DOES …

Company Law In The European Single Market, Richard D. English

BYU Law Review

No abstract provided.

The Eec Merger Regulation And Its Impact On Non-Eec Businesses, Alec Burnside, Carl Meyntjens False

BYU Law Review

No abstract provided.

Sec Regulation Of Multijurisdictional Offerings, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

The Changing Structure Of The Financial Services Industry And The Implications For International Securities Regulation, Aulana Peters

Washington and Lee Law Review

No abstract provided.

International Cooperation In Securities Enforcement

Washington and Lee Law Review

No abstract provided.

Introduction Symposium: Can The International Securities Markets Be Regulated, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

The Internationalization Of The Securities Markets: Preface To A Symposium, Joel Seligman

Michigan Journal of International Law

This preface begins by tracing certain of the initial steps taken by the SEC in the internationalization of securities trading. Regulations involving issuers of new securities are discussed in two contexts. First, when foreign private issuers offer securities into the United States, and second, when securities are simultaneously offered in the United States and abroad. The preface concludes by introducing each of the articles in this symposium.

Securities Regulation In The International Marketplace: Bilateral And Multilateral Agreements, Daniel L. Goelzer, Anne Sullivan, Robert Mills

Michigan Journal of International Law

This article examines the experience of the SEC in securities regulation with respect to the international securities markets, focusing first as background upon recent developments in those markets, and then on the actual regulation of issuer disclosure, the trading markets, and enforcement in general. In each of the latter three areas, the article will consider the Commission's direct domestic actions in response to international trade, and compare those with international approaches to establish standards in these areas. This comparison demonstrates that international cooperation can, and should, develop new protections and predictable, common themes of regulation, for disclosure, market regulation, and …

The Changing Structure Of The Securities Markets And The Securities Industry: Implications For International Securities Regulation, Aulana L. Peters, Andrew E. Feldman

Michigan Journal of International Law

This article addresses the impact internationalization has had on the world's securities markets with a particular focus on its role in forcing change in the structure of those markets. Part I describes the forces involved in the internationalization process, and analyzes capital movement and other phenomena that demonstrate the extent of internationalization. Next, it reviews the structural changes that securities markets and the securities industry have made in response to the internationalization process. Part II analyzes the measures regulators have taken to address the implications of those developments. Part III discusses the October Market Break and how it illustrates the …

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 …

A Study Of Mexico's Capital Markets And Securities Regulation, Samuel Wolff

Vanderbilt Journal of Transnational Law

This Article will analyze Mexico's capital markets and regulations, primarily from an empirical point of view. The discussion will begin with an overview of the Mexican financial and legal systems to provide a context for the analysis of the market and the law. The essay will then discuss the Mexican securities market, including history, participants and characteristics. Finally, Mexico's Ley del Mercado de Valores ("Securities Market Law") will be analyzed." The objective of the study is to increase understanding of the Mexican market by Mexicans and foreigners alike. The study should be useful to policymakers in Mexico and other developing …

Can Regulators Of International Capital Markets Strike A Balance Between Competing Interests, Roberta S. Karmel

Faculty Scholarship

No abstract provided.

Internationalization Of Stock Markets: Potential Problems For United States Shareholders, John H. Ehrlich

Northwestern Journal of International Law & Business

Despite considerable advance publicity, the internationalization of the world's stock markets remains in the incipient stage of development. Nonetheless, the exchange of capital across international borders through the purchase and sale of equity securities is likely to continue. This Comment will explore the potential problems faced by United States shareholders when the corporations in which they own stock list and offer equity securities on stock exchanges in foreign countries.

Extraterritorial Application Of United States Commodity And Securities Laws To Market Transactions In An Age Of Intercontinental Trading Links, Harold A. Malkin

Northwestern Journal of International Law & Business

The recently operational trading link between the Chicago Mercantile Exchange ("CME") and the Singapore International Monetary Exchange ("SIMEX") is one of the most significant developments to occur in the securities industry in recent memory. While the initial phase of this intermarket, intercontinental link involves only the trading of Eurodollar, Deutsche mark, and Japanese yen futures contracts, the prospects for the trading of additional contracts, and the further expansion of trading hours, ultimately to round-the-clock trading, appear favorable. The internationalization of both foreign and domestic futures markets is clearly the order of the day. A trading link connecting the futures exchanges …

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 …

Book Review Of Passion: An Essay On Personality , Richard F. Devlin Frsc

Articles, Book Chapters, & Popular Press

Passion is a cogently structured, compel Jingly argued and seductively enthralling masterpiece which, in years to come, will undoubtedly stand out as an inspirational source for many who seek social transformation. Unger's style, in this essay at least, is lucid and inviting. Substantively, Passion demonstrates not only the depth of his penetrating intellect but also his command of an array of' disciplines. Unger's polymathy is all the more impressive when we remember that ours is an era in which idiosyncratic specialization is the norm.

Continental Grain (Australia) Pty. Ltd. V.Pacific Oilseeds, Inc.: An Unjustifiable Expansion Of Subject Matter Jurisdiction In A Transnational Securities Fraud Case, Joseph A. Marovitch

Northwestern Journal of International Law & Business

This note will suggest that the holding in Continental Grain repre- sents an unjustifiably expansive application of the conduct test. Recog- nizing the Second Circuit's expertise in the securities law area, this note will critically examine the case of that circuit, concluding that the Sec- ond Circuit would not have found jurisdiction under the conduct test on the facts of Continental Grain.' Next, SEC v. Kasser,8 a Third Cir- cuit case relied upon by the court in Continental Grain, will be criticized as an unwarranted expansion of the conduct test. Unwarranted or not, Kasser also could have been distinguished on …

The Extraterritorial Reach Of The Federal Securities Code: An Analysis Of Section 1905, John M. Liftin

Vanderbilt Law Review

Section 1905 of the proposed Federal Securities Code' sets forth the applicability of the Code to transnational securities transactions. The drafters could have stated in each provision of the Code whether and to what extent it was to apply extraterritorially. Instead, they placed in one section a set of general principles that cuts across all other sections of the Code and indicates which sections are to have extraterritorial application. The result is a descriptive guide that relies on a classification of transactions rather than a section-by-section enumeration...

This Article will not analyze the existing cases, except to the extent they …

International Arbitration - Scherk V. Alberto-Culver Co., The Exemption Of International Contracts From The Wilko Doctrine Voiding Agreements To Arbitrate Securities Disputes, Mahir Jalili

Loyola University Chicago Law Journal

No abstract provided.

Editor's Foreword, Charles G. Burr

Vanderbilt Journal of Transnational Law

The Vanderbilt Journal of Transnational Law is a new undertaking at Vanderbilt Law School. The Journal is an outgrowth of the predecessor publication, The Vanderbilt International, which was established in 1967 as a bulletin of the Vanderbilt International Law Society. A number of factors, including increased student enrollment at the Law School and a growing awareness of global activities and problems, have facilitated the Journal's evolution into its present, expanded format. It is indeed appropriate that the lead article of the new publication should be authored by Judge Philip C. Jessup, who has long been the foremost advocate in the …

Securities Regulation In Japan, Mitsuru Misawa

Vanderbilt Journal of Transnational Law

Japanese securities exchanges, which were closed at the beginning of the Allied Force occupation in 1945, were permitted to reopen in 1949. During the following two decades, the Japanese economy displayed vigorous growth. An expansion of the operations of the securities markets accompanied the expansion of the economy, but the expansion did not progress evenly. The development of the securities markets in the post-War period can be divided into a number of stages: (1) the period of confusion and frustration (August 1945 to August 1949); (2) the period of reorganization (May 1949 to January 1954); (3) the period of high …

The Applicability Of The Margin Regulations To Foreign Financial Institutions, Roberta S. Karmel

Faculty Scholarship

No abstract provided.