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Articles 451 - 480 of 5426
Full-Text Articles in Securities Law
A Hard Pill To Swallow: The Abysmal Mental Health Standards Of Detained Immigrant Children In The United States, Rama Bankesly
A Hard Pill To Swallow: The Abysmal Mental Health Standards Of Detained Immigrant Children In The United States, Rama Bankesly
Seattle University Law Review
After setting foot into the U.S., unaccompanied children must learn to navigate academic and legal systems while receiving little support and carrying the heavy burden of effects of trauma on their mental health. They need access to mental health care from qualified professionals, but as this Comment will explain, they systematically fail to receive care, as can be seen in cases like Doe v. Shenandoah Valley Juv. Ctr. Comm’n. In Shenandoah, an unaccompanied child arrived in the U.S. and was placed in a facility that failed to provide remotely adequate mental health care and in fact was subjected …
Climate, Clarity, Controversy: A Constitutional, Statutory, And Policy Analysis Of The Sec’S Proposed Climate Disclosure Rules, Astoneia O. Moss
Climate, Clarity, Controversy: A Constitutional, Statutory, And Policy Analysis Of The Sec’S Proposed Climate Disclosure Rules, Astoneia O. Moss
Emory Business Law Review
The burgeoning ESG movement has heightened investors’ interest in how companies steward the environment in which they operate; manage their human capital; and implement strategies to effectively manage and fulfill the desires of stakeholders. As a result, the SEC has sought to implement a mandatory climate-related disclosure regime to provide investors with public companies’ climate-related data to assist in the investment decision-making process. The proposed climate-related disclosure rule has faced criticism from businesses, politicians, and legal scholars on constitutional, statutory, and policy grounds. This Comment concludes that based on the statutory language of the Securities Act of 1933 and Securities …
The Rise Of Labor Issues As An Antitrust Priority, Richard Dagen, Maryanne Magnier
The Rise Of Labor Issues As An Antitrust Priority, Richard Dagen, Maryanne Magnier
Emory Business Law Review
No abstract provided.
For The Birds: Trademark And Brand Management Considerations For The Rebranded Digital Town Square, Arielle Levin
For The Birds: Trademark And Brand Management Considerations For The Rebranded Digital Town Square, Arielle Levin
Emory Business Law Review
No abstract provided.
Service Of Process Via Nft Airdrops: The Pathway To Private Litigation For Injured Web3 Plaintiffs, Sophia Dudgeon
Service Of Process Via Nft Airdrops: The Pathway To Private Litigation For Injured Web3 Plaintiffs, Sophia Dudgeon
Cardozo Arts & Entertainment Law Journal
The note explores the evolving landscape of legal process in the digital age, focusing on the use of blockchain technology and NFTs for serving legal notices. It argues that courts are increasingly adapting traditional due process principles, such as those established in Mullane v. Alabama, to accommodate emerging technologies. The analysis highlights the landmark case LCX AG v. 1.274M U.S. Dollar Coin, where a court approved serving process via NFT airdrop, demonstrating how technological innovations can enhance access to justice in digital asset disputes. The author advocates for courts to embrace expansive interpretations of alternative service methods to …
Students For Fair Admissions: Affirming Affirmative Action And Shapeshifting Towards Cognitive Diversity?, Steven A. Ramirez
Students For Fair Admissions: Affirming Affirmative Action And Shapeshifting Towards Cognitive Diversity?, Steven A. Ramirez
Seattle University Law Review
The Roberts Court holds a well-earned reputation for overturning Supreme Court precedent regardless of the long-standing nature of the case. The Roberts Court knows how to overrule precedent. In Students for Fair Admissions v. Harvard (SFFA), the Court’s majority opinion never intimates that it overrules Grutter v. Bollinger, the Court’s leading opinion permitting race-based affirmative action in college admissions. Instead, the Roberts Court applied Grutter as authoritative to hold certain affirmative action programs entailing racial preferences violative of the Constitution. These programs did not provide an end point, nor did they require assessment, review, periodic expiration, or revision for greater …
Venture Capital And Financial Stability, Ann Lipton
Venture Capital And Financial Stability, Ann Lipton
Publications
No abstract provided.
Every Billionaire Is A Policy Failure, Ann Lipton
Uncovering Elon's Data Empire, Carliss Chatman, Carla L. Reyes
Uncovering Elon's Data Empire, Carliss Chatman, Carla L. Reyes
Faculty Journal Articles and Book Chapters
In 2022, Elon Musk publicly announced that he would purchase Twitter after acquiring a five percent stake in the company. His failure to report this acquisition—and the company’s failure to notice—allowed Musk to continue purchasing stock at a deflated price, costing the company more than $156 million. After the signing of a merger agreement, the details of the transaction caused wild fluctuations in Tesla’s stock price. Musk’s complaints about the management of Twitter and the existence of bots on the platform led Twitter’s stock to also drop in value, as did Musk’s attempts to withdraw from the transaction. Even after …
Socially Acceptable Securities Fraud, Christine Hurt
Socially Acceptable Securities Fraud, Christine Hurt
Faculty Journal Articles and Book Chapters
What is a lie? Moreover, where is it a lie? Lies are bad. Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934 create liability for issuer firms and individuals who make “an untrue statement of a material fact” or omit “a material fact required to be stated therein or necessary to make the statements therein not misleading.” In the ninety years since the passage of the Securities Exchange Act, however, the number of ways in which market participants may publicly disseminate statements that will be consumed by investors has exploded; does 10b-5 really apply to all these …
Taming The Digital Wild West: The Need To Fully Regulate The Crypto Market, Shawn Stevenson
Taming The Digital Wild West: The Need To Fully Regulate The Crypto Market, Shawn Stevenson
Lewis & Clark Law Review
Despite past doubts from sophisticated investors, cryptocurrencies have fully emerged from the underground and become a hot topic in mainstream financial discussions. At its peak, the global crypto market possessed a market cap of nearly $3 trillion, with the vast amount of that value created in less than two years. But this rapid growth has also come with extreme volatility; now more than a year out from that peak, the global crypto market has shrunk to under $1 trillion and has been riddled by high-profile bankruptcies. On top of this extreme volatility, the largely unregulated crypto market has become an …
The New Frontier For Bankruptcy: Crypto, Lindy Lofton
The New Frontier For Bankruptcy: Crypto, Lindy Lofton
Cardozo Arts & Entertainment Law Journal
The note examines the regulatory challenges posed by the rise of cryptocurrency platforms like Celsius and FTX, which have faced significant financial difficulties and bankruptcy. These platforms operate similarly to traditional banks and brokerages but lack the same regulatory oversight, leaving customers vulnerable without protections like FDIC insurance. The note argues that adopting legislation akin to the Banking Act of 1933 or the Securities Investor Protection Act (SIPA) could provide necessary safeguards, such as insurance mechanisms similar to FDIC or SIPC. However, the decentralized nature of cryptocurrency and opposition from the crypto community pose challenges to implementing such regulations. The …
Inequity In Equities: Spacs And The Expansion Of The Retail Market, Usha R. Rodrigues, Michael Stegemoller
Inequity In Equities: Spacs And The Expansion Of The Retail Market, Usha R. Rodrigues, Michael Stegemoller
Scholarly Works
Federal securities law creates a divide between the haves and the have-nots: On one side are the wealthy, who can invest in private companies; on the other side stand the rest of us, noses pressed up against the glass. Ordinary (or retail) investors are on the outside looking in because generally they can only invest in companies after they have gone public. Even the traditional process of going public typically keeps coveted initial public offering (IPO) shares in the hands of the rich. Put differently, even as a private firm debuts on the public markets, the wealthy take their cut …
High-Frequency Traders: How The Sec Can Tighten Regulation While Maintaining The Benefits Of A Competitive Market, John I. Sanders
High-Frequency Traders: How The Sec Can Tighten Regulation While Maintaining The Benefits Of A Competitive Market, John I. Sanders
American University Business Law Review
In 2010, the so-called “Flash Crash” of the U.S. stock market brought the overlooked practice of high-frequency trading into the spotlight for the first time. Initial efforts to study and curtail the practice, including a transaction fee pilot attempted by the Securities and Exchange Commission in 2018, have been unsuccessful. After outlining the substantial benefits market participants gain from the activities of high-frequency traders, this article argues that there are three potent and readily available tools for limiting the harmful excesses of those traders: (i) aggressively bring market manipulation charges under § 9(a)(2) of the Exchange Act against those who …
From The Great Recession To The Covid-19 Pandemic: A Financial History Of The United States 2010–2020: Introduction, Jerry W. Markham
From The Great Recession To The Covid-19 Pandemic: A Financial History Of The United States 2010–2020: Introduction, Jerry W. Markham
FIU Law Review
This article is an Introduction to a symposium on the Author's latest volume in his seven volume series on the Financial History of the United States. The Introduction summarizes the articles published in the symposium and reviews how each contributes to the ongoing analysis and debate over the causes of financial panics and government policies to deal with such events.
Rational Investing Or Speculative Fever?: Spacs, Robinhood, And Digital Assets—Securities Markets Or Casinos?, Thomas Lee Hazen
Rational Investing Or Speculative Fever?: Spacs, Robinhood, And Digital Assets—Securities Markets Or Casinos?, Thomas Lee Hazen
FIU Law Review
This article focuses a recurring theme – speculation in the financial markets. The 2010-2020 decade set the stage for a new round of speculative activity starting in 2021. In the article that follows I reflect on a new wave of speculation and three current examples of speculative activity. The article concludes that regulators should be cautious about over-regulation of SPACs and gamified trading. The article also supports the regulation of digital assets (crypto currencies and NFTs) as securities.
Ask The Professor: Will The Recent Second Circuit Decision In Sec V. Govil Adversely Impact Future Sec Disgorgement Cases—Or Not?, Ronald Filler
Ask The Professor: Will The Recent Second Circuit Decision In Sec V. Govil Adversely Impact Future Sec Disgorgement Cases—Or Not?, Ronald Filler
Articles & Chapters
No abstract provided.
The Sec And "Major Questions Doctrine" Questions, Donna M. Nagy
The Sec And "Major Questions Doctrine" Questions, Donna M. Nagy
Articles by Maurer Faculty
Nearly two years ago, in the wake of the Supreme Court’s formal adoption of what it termed the “major questions doctrine,” the Wall Street Journal reported a prediction that “‘every corporate securities lawyer in America is going to now fashion their arguments against SEC rulemaking to force-fit it into [that doctrine].’” As articulated by the sharply divided 6- 3 majority in West Virginia v. EPA, major questions doctrine (MQD) analysis is warranted in certain “extraordinary cases” involving a “transformative expansion” in a federal agency’s regulatory authority that is premised on “a merely plausible textual basis for the agency action.” Extraordinariness, …
Franchising Law In The United States Between Theory And Practice: Heads Up For Foreign Investors, Radwa Elsaman
Franchising Law In The United States Between Theory And Practice: Heads Up For Foreign Investors, Radwa Elsaman
Touro Law Review
As a dynamic vehicle for fostering investment opportunities, both domestically and internationally, franchising spans a diverse array of industrial sectors, encompassing both goods and services. The United States plays a highly influential role in global franchise industry promotion, with a vast majority of International Franchise Association members representing American companies. Present data underscores that franchising has extended its reach to virtually every sector of the American economy. Notably, the United States stands among just four common law nations that have established dedicated franchise legislation, operating at both state and federal levels. This framework includes provisions for pre-sale disclosure, registration of …
Undue Limitations In The Section 10(B) Purchaser-Seller Requirement, Marc I. Steinberg, Antonio R. Partida
Undue Limitations In The Section 10(B) Purchaser-Seller Requirement, Marc I. Steinberg, Antonio R. Partida
Faculty Journal Articles and Book Chapters
This article considers different applications of the Purchaser-Seller Rule that a plaintiff must satisfy to bring a Section 10(b) and Rule 10b-5 private action. The history and development of the Purchaser-Seller Rule under Supreme Court and lower federal court jurisprudence is considered, with emphasis on recent case law unduly constricting this Rule. In particular, the Second Circuit’s restrictions on Section 10(b) standing are addressed, focusing on that appellate court’s decision in Frutarom which adhered to an overly formulaic approach to Section 10(b) standing that is out of line with prior Second Circuit and Supreme Court precedent. The article then considers …
Fractionalizing Investment Securities: Using Fintech To Expand Financial Inclusion, Steven L. Schwarcz, Robert Bourret
Fractionalizing Investment Securities: Using Fintech To Expand Financial Inclusion, Steven L. Schwarcz, Robert Bourret
Faculty Scholarship
Recent innovations in financial technology, or “FinTech,” are enabling the fractionalization of investment securities, such as shares of stock and bonds. We explain how this fractionalization can fundamentally expand financial inclusion both for investors and for businesses, including small and medium-sized enterprises (SMEs). Using the fractionalization of investment securities as a model, we also counter the argument that FinTech-enabled transactions should not need regulation because they are governed by mathematical algorithms under so-called smart contracts. Additionally, we derive and test a regulatory framework to identify and help to mitigate the risks caused by fractionalization. In the process, we also explain …
The Rise Of Private Equity Continuation Funds, Kobi Kastiel, Yaron Nili
The Rise Of Private Equity Continuation Funds, Kobi Kastiel, Yaron Nili
Faculty Scholarship
This Article provides the first comprehensive examination of an emerging practice within the private equity sector: continuation funds. Continuation funds break from the traditional private equity model by allowing sponsors to hold on to assets beyond the typical fund term and, instead of selling the assets to third parties, sell them to their own newly established fund. Lauded by the private equity industry as providing “optionality” to investors by allowing them to cash out or roll over, continuation funds have grown to represent a major segment of investment activity in the United States. Despite their surging popularity among private equity …
The Limits Of Individual Prosecutions In Deterring Corporate Fraud, Samuel W. Buell
The Limits Of Individual Prosecutions In Deterring Corporate Fraud, Samuel W. Buell
Faculty Scholarship
Fifteen years after the largest financial scandal and economic crisis in a century, discussion of the problem of corporate crime too often borders on cliché. Endless calls from Congress, the media, the public, many scholars, and even the Justice Department itself, to recommit, over and over, to locking up more managers and executives to deter corporate wrongdoing portray the problem as relatively straightforward and blame legislative and executive failure of will. Through examination of the litigation record from over 100 prosecutions spanning the period from the 2008 financial crisis to the present, this Article presents evidence that relying on individual …
The Small Business Killer: How Fincen Enforcement Of The Cta Could Destroy The Last Bastion Of The American Dream, Samantha M. Alecozay
The Small Business Killer: How Fincen Enforcement Of The Cta Could Destroy The Last Bastion Of The American Dream, Samantha M. Alecozay
Faculty Articles
The Corporate Transparency Act (CTA), passed into law in 2021 and made effective January 1, 2024, mandates the creation of a nationwide database that collects owner information of certain legal entities to help combat money laundering and other illicit financial activities. The CTA requires that the legal entity owners provide necessary information directly to the federal government, rather than relying on state and/or federal government officials to collect the information on their behalf. Further, failure to comply may result in the legal entity and owners incurring significant civil penalties of up to $591 per day of violation and even criminal …
Catalyzing Climate Resilience In The Electric Utility Sector: Investor-Backed Utilities Must Prepare For The Approaching Storm, Jose J. Gonzalez
Catalyzing Climate Resilience In The Electric Utility Sector: Investor-Backed Utilities Must Prepare For The Approaching Storm, Jose J. Gonzalez
Emory Business Law Review
Communities and businesses that fail to take proactive measures will be devastated by the impacts of climate change. Across the United States, public and private entities have taken steps to protect companies and communities from climate change. However, financial restrictions and shareholder concerns have slowed such a response from the electric utility sector. This inaction has devastated communities such as Paradise, California and Lahaina, Hawaii. This Comment identifies how electric utility companies should utilize recently passed federal legislation, including the Bipartisan Infrastructure Law and Inflation Reduction Act, to finance large-scale projects to update America's power grid. This Comment also argues …
The End Of Remedies?, Joshua Shapiro
It’S Not Personal, It’S Strictly Business: The Need To Amend The Federal Rules Of Evidence To Permit Live Corporate Designee Testimony At Trial, Veronica J. Finkelstein
It’S Not Personal, It’S Strictly Business: The Need To Amend The Federal Rules Of Evidence To Permit Live Corporate Designee Testimony At Trial, Veronica J. Finkelstein
Emory Business Law Review
No abstract provided.
How American Sports Leagues Can Respond To The Rise Of Sovereign Wealth Funds, Chris Chen
How American Sports Leagues Can Respond To The Rise Of Sovereign Wealth Funds, Chris Chen
Emory Business Law Review
This Comment explores the transformative impact of well-funded Middle Eastern sports leagues on the global landscape of professional sports. Fueled by substantial financial support from sovereign wealth funds, these leagues have raised concerns about the possibility that domestic American players may choose to leave their current league in favor of one of the opportunities for more lucrative salaries overseas. The rise of LIV Golf catalyzes these discussions. This Comment also delves into how American sports leagues may respond by potentially allowing players to have equity stakes, engage in sponsorships with gambling websites, and participate other revenue-sharing arrangements. The potential corporate …
Bridging The Gap In Corporate Governance For Interlocking Directors In Colombia, Juan D. Ovalle
Bridging The Gap In Corporate Governance For Interlocking Directors In Colombia, Juan D. Ovalle
Emory Business Law Review
No abstract provided.
Negotiating For Certainty In An Uncertain World, Matthew D. Kent
Negotiating For Certainty In An Uncertain World, Matthew D. Kent
Emory Business Law Review
No abstract provided.