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Articles 31 - 58 of 58
Full-Text Articles in Securities Law
Keynote Address: The Conflicted Trustee Dilemma, Steven L. Schwarcz
Keynote Address: The Conflicted Trustee Dilemma, Steven L. Schwarcz
NYLS Law Review
No abstract provided.
On The Continued Vitality Of Securities Arbitration: Why Reform Efforts Must Not Preclude Predispute Arbitration Clauses, Alicia J. Surdyk
On The Continued Vitality Of Securities Arbitration: Why Reform Efforts Must Not Preclude Predispute Arbitration Clauses, Alicia J. Surdyk
NYLS Law Review
No abstract provided.
Guilty By Association? Regulating Credit Default Swaps, Houman B. Shadab
Guilty By Association? Regulating Credit Default Swaps, Houman B. Shadab
Articles & Chapters
A wide range of U.S. policymakers initiated a series of actions in 2008 and 2009 to bring greater regulation and oversight to credit default swaps (CDSs) and other over-the-counter derivatives. The policymakers’ stated motivations echoed widely expressed criticisms of the regulation, characteristics, and practices of the CDS market, and focused on the risks of the instruments and the lack of public transparency over their utilization and execution. Certainly, the misuse of certain CDSs enabled mortgage-related security risk to become overconcentrated in some financial institutions.
Yet as the analysis in this Article suggests, failing to distinguish between CDS derivatives and the …
Estate Of Pew V. Cardarelli, Rachel Bell
Teamsters Local 445 Freight Division Pension Fund V. Dynex Capital Inc., Erica E. Bonnett
Teamsters Local 445 Freight Division Pension Fund V. Dynex Capital Inc., Erica E. Bonnett
NYLS Law Review
No abstract provided.
Talking The Talk, Or Walking The Walk? Outcome-Based Regulation Of Transnational Investment, Jerry Ellig, Houman B. Shadab
Talking The Talk, Or Walking The Walk? Outcome-Based Regulation Of Transnational Investment, Jerry Ellig, Houman B. Shadab
Articles & Chapters
Today, individual U.S. retail investors have virtually limitless opportunities to invest their money, with a notable exception: they cannot directly invest in securities of foreign issuers and still be protected under U.S. law. This missing opportunity deprives U.S. investors of the ability to fully diversify their investments and also imposes undue costs and risks upon investors seeking to invest directly overseas. This Article shows that a Securities and Exchange Commission ("SEC") policy of "mutual recognition" of foreign regulatory regimes that achieve investor protection outcomes comparable to those of the SEC would solve this problem. A foreign issuer or other entity …
The Intersection Between Finance And Intellectual Property: Trade Secrets, Hedge Funds, And Section 13(F) Of The Exchange Act, Erin E. Martin
The Intersection Between Finance And Intellectual Property: Trade Secrets, Hedge Funds, And Section 13(F) Of The Exchange Act, Erin E. Martin
NYLS Law Review
No abstract provided.
In Re Cardinal Health, Inc. Securities Litigation, Lucas T. Charleston
In Re Cardinal Health, Inc. Securities Litigation, Lucas T. Charleston
NYLS Law Review
No abstract provided.
Globalization And Corporate Social Responsibility: Challenges For The Academy, Future Lawyers, And Corporate Law, Faith Stevelman
Globalization And Corporate Social Responsibility: Challenges For The Academy, Future Lawyers, And Corporate Law, Faith Stevelman
NYLS Law Review
No abstract provided.
Fending For Themselves: Creating A U.S. Hedge Fund Market For Retail Investors, Houman B. Shadab
Fending For Themselves: Creating A U.S. Hedge Fund Market For Retail Investors, Houman B. Shadab
Articles & Chapters
No abstract provided.
Risks And Realities Of Mezzanine Loans, Andrew R. Berman
Risks And Realities Of Mezzanine Loans, Andrew R. Berman
Articles & Chapters
The last decade has witnessed an astounding increase in new real estate financing techniques, including mezzanine loans. These new financings are not directly secured by real estate and do not even directly involve land. In the real estate industry, mezzanine financing typically refers to a loan secured principally by the borrower's equity in other entities. Both economically and legally, the value of the mezzanine borrower's collateral derives solely from its indirect ownership of the underlying property.
This article provides a detailed description of the legal structure of mezzanine loans. In addition, this article evaluates the hazards, legal risks and uncertainties …
Sec Enforcement And Examinations Concerning Hedge Funds, Barry W. Rashkover, Laurin Blumenthal Kleiman
Sec Enforcement And Examinations Concerning Hedge Funds, Barry W. Rashkover, Laurin Blumenthal Kleiman
NYLS Law Review
No abstract provided.
Sarbanes-Oxley: The Delaware Perspective, Chief Justice Myron T. Steele
Sarbanes-Oxley: The Delaware Perspective, Chief Justice Myron T. Steele
NYLS Law Review
No abstract provided.
A Social Defense Of Sarbanes-Oxley, James Fanto
From Lapdog To Watchdog: Sarbanes-Oxley Section 307 And A New Role For Corporate Lawyers, Peter C. Kostant
From Lapdog To Watchdog: Sarbanes-Oxley Section 307 And A New Role For Corporate Lawyers, Peter C. Kostant
NYLS Law Review
No abstract provided.
Internal Whistleblowing And Sarbanes-Oxley Section 806: Balancing The Interests Of Employee And Employer, Kevin Rubinstein
Internal Whistleblowing And Sarbanes-Oxley Section 806: Balancing The Interests Of Employee And Employer, Kevin Rubinstein
NYLS Law Review
No abstract provided.
Goldstein V. Sec, Elizabeth A. Veit
The Challenge Of Hedge Fund Regulation, Houman B. Shadab
The Challenge Of Hedge Fund Regulation, Houman B. Shadab
Articles & Chapters
Currently en vogue concerns about hedge funds are not nearly as substantial as is often claimed. Moreover, the funds themselves are reducing their risks to investors and the broader markets, in accordance with investor demands. As hedge funds benefit the broader market by mitigating price downturns, bearing risks that others will not, making securities more liquid, and ferreting out inefficiencies, policymakers should consider whether stricter regulation of hedge funds could do more harm than good.
Tracinda Corp. V. Daimlerchrysler Ag, Keith Martorana
Tracinda Corp. V. Daimlerchrysler Ag, Keith Martorana
NYLS Law Review
No abstract provided.
Rombach V. Chang: To 9(B) Or Not To 9(B), Scott D. Woller
Rombach V. Chang: To 9(B) Or Not To 9(B), Scott D. Woller
NYLS Law Review
No abstract provided.
Missing The Mark: Nasd Rule 2711 And Nyse Rule 472 Mistakenly Emphasize Disclosure Rather Than Amending The Pleading Requirements Of Pslra, James J. Barney
Missing The Mark: Nasd Rule 2711 And Nyse Rule 472 Mistakenly Emphasize Disclosure Rather Than Amending The Pleading Requirements Of Pslra, James J. Barney
NYLS Law Review
No abstract provided.
In Re Merrill Lynch & Co., Inc. Research Reports Securities Litigation, Patrick G. Diamond
In Re Merrill Lynch & Co., Inc. Research Reports Securities Litigation, Patrick G. Diamond
NYLS Law Review
No abstract provided.
In Re Nortel Networks Corp. Securities Litigation, Janis Golubock
In Re Nortel Networks Corp. Securities Litigation, Janis Golubock
NYLS Law Review
No abstract provided.
Bombing Markets, Subverting The Rule Of Law: Enron, Financial Fraud, And September 11, 2001, Faith Stevelman
Bombing Markets, Subverting The Rule Of Law: Enron, Financial Fraud, And September 11, 2001, Faith Stevelman
Articles & Chapters
No abstract provided.
Introduction (Symposium: Mutual Fund Regulation In The Next Millennium), Jeffrey J. Haas
Introduction (Symposium: Mutual Fund Regulation In The Next Millennium), Jeffrey J. Haas
Articles & Chapters
No abstract provided.
Small Issue Public Offerings Conducted Over The Internet: Are They ‘Suitable’ For The Retail Investor?, Jeffrey J. Haas
Small Issue Public Offerings Conducted Over The Internet: Are They ‘Suitable’ For The Retail Investor?, Jeffrey J. Haas
Articles & Chapters
No abstract provided.
Securities Regulation And The First Amendment, Aleta Estreicher
Securities Regulation And The First Amendment, Aleta Estreicher
Articles & Chapters
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.