Seattle University School of Law
Western University
Campbell University School of Law
University of Michigan Law School
Villanova University Charles Widger School of Law
Indiana University Maurer School of Law
College of William & Mary Law School
Table Of Contents,
2019
Seattle University School of Law
Table Of Contents, Seattle University Law Review
Seattle University Law Review
No abstract provided.
Crowdfunding Capital In The Age Of Blockchain Based Tokens,
2019
Saint Louis University School of Law
Crowdfunding Capital In The Age Of Blockchain Based Tokens, Patricia H. Lee
All Faculty Scholarship
Less than three years ago, the Securities and Exchange Commission (“SEC”) adopted investment crowdfunding regulations (“Reg. CF”) to facilitate small companies’ efforts to raise capital and jumpstart employment, providing companies potentially one of the most disruptive transformations in capital markets.
As the lion share of securities are offered under public offerings or Reg. D safe harbor exemptions, outcomes and impacts of Reg. CF offerings are not studied or monitored to the same extent. One line of inquiry is the scope of Reg. CF, including questions about the level of company participation, the types of businesses seeking capital formation, and the ...
Whistleblowers—A Case Study In The Regulatory Cycle For Financial Services,
2018
Brooklyn Law School
Whistleblowers—A Case Study In The Regulatory Cycle For Financial Services, Ronald H. Filler, Jerry W. Markham
Brooklyn Journal of Corporate, Financial & Commercial Law
The Securities and Exchange Commission and the Commodity Futures Trading Commission were directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank) to create whistleblower protection programs that reward informants with massive bounty payments. At the time of its passage, the Dodd-Frank Act was a highly controversial statute that was passed on partisan lines. Its whistleblowing authority was one of its “most contentious provisions.” As the result of the 2016 elections, the Dodd-Frank Act has come under renewed attack in Congress and by the new Trump administration. The stage is being set for possible repeal of ...
Theme Park Fraud And How To Catch It,
2018
La Salle University
Theme Park Fraud And How To Catch It, Lilly Lask
Economic Crime Forensics Capstones
One of the most significant, if not the most important financial difficulty facing theme parks today is credit card fraud and the use of counterfeit money by individuals to improperly obtain theme park tickets. The tickets are then used by the fraudsters themselves, or sold or otherwise distributed to guests of the parks. The improper use of the tickets significantly impacts the income of the parks. In order to continue to appropriately manage the parks after the losses, ticket prices need to be raised, which generally leads to a reduction in the valid revenue of the parks as they become ...
Why Salman Is A Game-Changer For The Political Intelligence Industry,
2018
American University Washington College of Law
Why Salman Is A Game-Changer For The Political Intelligence Industry, Kendall R. Pauley
American University Law Review
No abstract provided.
The Dragon And The Eagle: Reforming China’S Securities Ipo Laws In The U.S. Model, Pros And Cons,
2018
Levin College of Law, University of Florida
The Dragon And The Eagle: Reforming China’S Securities Ipo Laws In The U.S. Model, Pros And Cons, Stuart R. Cohn, Miao Yinzhi
Washington University Global Studies Law Review
China is about to undergo a major reform of its securities offering and listing processes. Since the inception of China’s securities market in the early 1990s, the government has exercised tight control to determine which companies will be allowed to engage in initial public offerings and become listed on a national exchange. The system has led to both corruption and favoritism and has blocked numerable companies from access to capital markets. With the ascension in 2013 of Xi Jinping and Li Keqiang as the heads of the Chinese Communist Party and Premier, the government adopted reform of the market ...
Decentralized Public Ledger Systems And Securities Law: New Applications Of Blockchain Technology And The Revitalization Of Sections 11 And 12(A)(2) Of The Securities Act Of 1933,
2018
Washington University School of Law
Decentralized Public Ledger Systems And Securities Law: New Applications Of Blockchain Technology And The Revitalization Of Sections 11 And 12(A)(2) Of The Securities Act Of 1933, Kelsey Bolin
Washington University Law Review
When Bitcoin launched in 2009, it was the first virtual cryptocurrency to gain popularity and attain widespread use. Much attention has been paid to Bitcoin’s well-publicized advances and setbacks as the world’s foremost virtual currency. Less attention has been paid, however, to the decentralized public ledger technology that enables Bitcoin to function. That technology is just as innovative as Bitcoin itself. Decentralized public ledgers are a revolution in digital data storage and have the “potential to fundamentally shift the way in which society operates.”
This Note will examine one such societal shift—a change in how shareholders access ...
A Proposal For A National Tribally Owned Lien Filing System To Support Access To Capital In Indian Country,
2018
Texas A&M University School of Law
A Proposal For A National Tribally Owned Lien Filing System To Support Access To Capital In Indian Country, William H. Henning, Susan M. Woodrow, Marek Dubovec
Faculty Scholarship
This article sets forth a proposal to develop and implement a national, state-of-the-art, all-electronic filing system to support tribes’ secured-transactions laws, with the goal of improving access to capital for tribes, tribal consumers, and, most importantly, independent Native-owned businesses. Tribes are increasingly recognizing the need to establish a sound commercial legal infrastructure, including in particular a modern secured-transactions law, to support sustainable business development. Toward this end, many tribes have adopted the Model Tribal Secured Transactions Act (MTSTA), and many more are in the process of reviewing the act for adoption. Central to the functioning of any secured-transactions law is ...
The Tortoise And The Hare Of International Data Privacy Law: Can The United States Catch Up To Rising Global Standards?,
2018
The Catholic University of America, Columbus School of Law
The Tortoise And The Hare Of International Data Privacy Law: Can The United States Catch Up To Rising Global Standards?, Matthew Humerick
Catholic University Journal of Law and Technology
Technological developments spur the development of big data on a global scale. The breadth of data companies collect, maintain, process, and transmit affects nearly every country and organization around the world. Inherent to big data are issues of data protection and transfers to third countries. While many jurisdictions emphasize the importance of protecting consumer data, such as the European Union, others, like the United States, do not. To circumvent this issue, the United States and European Union contracted around data privacy standard discrepancies through the Safe Harbor Agreement, which eased cross-border data transfers. However, the Court of Justice of the ...
Alexa, Who Owns My Pillow Talk? Contracting, Collaterizing, And Monetizing Consumer Privacy Through Voice-Captured Personal Data,
2018
Catholic University of America (Student)
Alexa, Who Owns My Pillow Talk? Contracting, Collaterizing, And Monetizing Consumer Privacy Through Voice-Captured Personal Data, Anne Logsdon Smith
Catholic University Journal of Law and Technology
With over one-fourth of households in the U.S. alone now using voice-activated digital assistant devices such as Amazon’s Echo (better known as “Alexa”) and Google’s Home, companies are recording and transmitting record volumes of voice data from the privacy of people’s homes to servers across the globe. These devices capture conversations about everything from online shopping to food preferences to entertainment recommendations to bedtime stories, and even phone and appliance use. With “Big Data” and business analytics expected to be a $203 billion-plus industry by 2020, companies are racing to acquire and leverage consumer data by ...
Typology Of Public-Private Equity,
2017
UC Irvine School of Law
Typology Of Public-Private Equity, Sung Eun (Summer) Kim
Florida State University Law Review
Private equity, which pools funds for investment in private businesses, is one of the largest and fastest growing investment opportunities in the markets today. Private equity traditionally sought investments exclusively from sophisticated investors such as high net worth individuals and institutional investors. More recently, however, a growing number of private equity businesses have gone public and opened their doors to public investors, who are drawn to these investments because of the possibility of high returns and the opportunity to diversify their investment portfolios. In this Article, I review the universe of public-private equity (or PPE) businesses that are traded on ...
Revisiting The Bank Holding Company Structure: Do Community And Regional Banks Still Need A Bank Holding Company?,
2017
Washington College of Law
Revisiting The Bank Holding Company Structure: Do Community And Regional Banks Still Need A Bank Holding Company?, Gerard Comizio, Laura E. Bain, Kristin S. Teager
American University Business Law Review
No abstract provided.
Crowdfunding In Wonderland Issuer And Investor Risks In Non-Fraudulent Creative Arts Campaigns Under The Jobs Act,
2017
Southwestern Law School
Crowdfunding In Wonderland Issuer And Investor Risks In Non-Fraudulent Creative Arts Campaigns Under The Jobs Act, Michael M. Epstein, Nazgole Hashemi
American University Business Law Review
No abstract provided.
The Anti-Spoofing Statute: Vague As Applied To The "Hypothetically Legitimate Treader",
2017
American University Washington College of Law
The Anti-Spoofing Statute: Vague As Applied To The "Hypothetically Legitimate Treader", Catriona Coppler
American University Business Law Review
No abstract provided.
Choice-Of-Law Rules For Secured Transactions: An Interest-Based And Modern Principles-Based Framework For Assessment,
2017
University of Pennsylvania Law School
Choice-Of-Law Rules For Secured Transactions: An Interest-Based And Modern Principles-Based Framework For Assessment, Charles W. Mooney Jr.
Faculty Scholarship at Penn Law
This essay examines the law applicable to secured transactions. It addresses in particular the codification of the choice-of-law rules for secured transactions (STCOL rules). These rules address the laws applicable to the creation, perfection, priority, and enforcement of security interests (security rights)—a form of legislative or statutory dépeçage. It draws on the 2016 UNCITRAL Model Law on Secured Transactions (Model Law) as well as relevant North American law (Uniform Commercial Code Article 9 and the Canadian provincial Personal Property Security Acts). The STCOL rules lie at the heart of the emerged and emerging modern principles of secured transactions law ...
Security Interests In Book-Entry Securities In Japan: Should Japanese Law Embrace Perfection By Control Agreement And Security Interests In Securities Accounts?,
2017
Yamagata University
Security Interests In Book-Entry Securities In Japan: Should Japanese Law Embrace Perfection By Control Agreement And Security Interests In Securities Accounts?, Kumiko Koens, Charles W. Mooney Jr.
Faculty Scholarship at Penn Law
The paper proposes two significant modifications of Japan’s Act on Transfer of Bonds, Shares, etc. (BETA). First, it suggests the control agreement method of transferring an interest in securities that is effective against third parties. Under the BETA, the creation of an effective interest in book-entry securities requires book entries in the securities accounts of the transferor and the transferee. Under the control agreement approach, the transferor, transferee, and the transferor’s securities intermediary would agree that (i) the intermediary would act on the instructions of the transferee with respect to securities credited to the transferor’s securities account ...
Hybrid Transactions And The Internet Of Things: Goods, Services, Or Software?,
2017
New York Law School
Hybrid Transactions And The Internet Of Things: Goods, Services, Or Software?, Stacy-Ann Elvy
Articles & Chapters
The Internet of Things (IOT) has been described by the American Bar Association as "one of the fastest emerging," potentially most "transformative and disruptive technological developments" in recent years. Thesecurity risks posed by the IOT are immense and Article 2 of the UCC should play a central role in determinations regarding liability for vulnerable IOT products. However, the lack of explicit clarity in the UCC on how to evaluate Article 2's applicability to hybrid transactions that involve the provision of goods, services, and software has led to conflicting case law on this issue, which contradicts the UCC's stated ...
Bitproperty And Commercial Credit,
2016
University of Oklahoma College of Law
Bitproperty And Commercial Credit, Christopher K. Odinet
Christopher K. Odinet
The Frontiers Of Peer-To-Peer Lending: Thinking About A New Regulatory Approach,
2016
Duke Law
The Frontiers Of Peer-To-Peer Lending: Thinking About A New Regulatory Approach, William S. Warren
Duke Law & Technology Review
The growth of online alternative lending presents several advantages for both those seeking credit and those with excess capital to lend. Over the past decade, several different models of peer-to-peer lending have emerged in the US and U.K. Each of these models has developed in response to the different regulatory system it faces, which has led to the models’ different risk and reward profiles. However, the current regulatory framework for regulating peer-to-peer lending, especially in the U.S., leaves much to be desired. The inadequate regulatory regime not only hampers the potential for growth and further innovation in the ...
Shareholder Wealth Maximization As Means To An End,
2016
Selected Works
Shareholder Wealth Maximization As Means To An End, Robert P. Bartlett, Iii
Robert Bartlett
In several recent cases, the Delaware Chancery Court has emphasized that where a conflict of interest exists between holders of a company’s common stock and holders of its preferred stock, the standard of conduct for directors requires that they strive to maximize the value of the corporation for the benefit of its common stockholders rather than for its preferred stockholders. This article interrogates this view of directors’ fiduciary duties from the perspective of incomplete contracting theory. Building on the seminal work of Sanford Grossman and Oliver Hart, incomplete contracting theory examines the critical role of corporate control rights for ...
