The Collision Between The First Amendment And Securities Fraud,
2014
University of Idaho College of Law
The Collision Between The First Amendment And Securities Fraud, Wendy Gerwick Couture
Articles
This Article seeks to correct the imbalance that occurs when the First Amendment and securities fraud collide. Under current precedent, securities analysts, credit rating agencies, and financial journalists are subject to differing liability standards depending on whether they are sued for defamation or for securities fraud. Under New York Times Co. v. Sullivan, First Amendment protections apply in the defamation context in order to prevent the chilling of valuable speech, yet courts have declined to extend these protections to the securities fraud context. This imbalance threatens to chill valuable speech about public companies. To prevent the dangerous chilling effect of …
Confidential Informants And Securities Class Actions: Mixed Messages And Motives,
2014
United States District Court for the Southern District of New York
Confidential Informants And Securities Class Actions: Mixed Messages And Motives, Jed S. Rakoff
Loyola University Chicago Law Journal
No abstract provided.
The Road Map For Class Certification Post- Halliburton Ii,
2014
Managing Partner, Pomerantz LLP
The Road Map For Class Certification Post- Halliburton Ii, Marc I. Gross
Loyola University Chicago Law Journal
No abstract provided.
Are Sox And Dodd-Frank Securities Law? The Answer Is Up In The Air,
2014
University of Toledo College of Law
Are Sox And Dodd-Frank Securities Law? The Answer Is Up In The Air, Geoffrey Christopher Rapp
Loyola University Chicago Law Journal
No abstract provided.
Remic Tax Enforcement As Financial-Market Regulator,
2014
Brooklyn Law School
Remic Tax Enforcement As Financial-Market Regulator, Bradley T. Borden, David J. Reiss
Faculty Scholarship
No abstract provided.
Should Courts Do Behavioral Analysis Of Boardroom Conduct?,
2014
University of Maryland Francis King Carey School of Law
Should Courts Do Behavioral Analysis Of Boardroom Conduct?, Dale A. Oesterle
Journal of Business & Technology Law
No abstract provided.
It Is Time For Investment Advisers To Join The Conversation About Social Media, 31 J. Marshall J. Info. Tech. & Privacy L. 423 (2014),
2014
UIC School of Law
It Is Time For Investment Advisers To Join The Conversation About Social Media, 31 J. Marshall J. Info. Tech. & Privacy L. 423 (2014), Sarah Tanaka
UIC John Marshall Journal of Information Technology & Privacy Law
Section II will detail the creation of the SEC, including key that shaped the establishment, goals, and mission of the SEC. Furthermore, it will focus on who is an investment adviser under the Investment Advisers Act of 1940, the controlling legislation on the matter. Section II will also examine the SEC‟s current guidance on investment advisers‟ use of social media and the public policy behind the new provisions. With social media revolutionizing the way individuals communicate and share information, Section III will discuss the advantages and disadvantages of the current guidance regarding investment advisers‟ use of social media. It will …
Niche Markets And Their Lessons,
2014
Melbourne Law School
Niche Markets And Their Lessons, Cally Jordan
Faculty Papers & Publications
Markets are full of nooks and crannies. Out of the glare of the big economies and their public exchanges, markets specializing by financial product, activity, or industry thrive, often attracting little by way of formal regulatory oversight. But there is another kind of specialized market, one which is geographically and politically determined albeit internationally focused. Luxembourg, Ireland, Dubai, Bahrain, Malaysia, Singapore, Switzerland, among others, these are some of the world’s niche markets.
It is a hard business being a niche market, operating in a competitive and often unforgiving environment, engaging in constant repositioning and facing inherent limitations on growth. Surprisingly, …
Around The World Of Securities Fraud In Eighty Motions To Dismiss,
2014
University of Idaho
Around The World Of Securities Fraud In Eighty Motions To Dismiss, Wendy Gerwick Couture
Loyola University Chicago Law Journal
No abstract provided.
Drowning In Disclosure: The Overburdening Of The Securities & Exchange Commission,
2014
University of Denver
Drowning In Disclosure: The Overburdening Of The Securities & Exchange Commission, Celia R. Taylor
Sturm College of Law: Faculty Scholarship
The belief that mandatory disclosure requirements enhance the efficiency of the United States capital markets and protect investors therein is a touchstone of federal securities regulation. During the 1932 presidential campaign, Franklin Delano Roosevelt promised to enact federal legislation to protect investors by mandating disclosure, drawing on the views of Louis Brandeis who famously stated, "publicity is justly commended as a remedy for social and industrial diseases. Sunlight is said to be the best of disinfectants; electric light the most efficient policeman." The fruit of those promises was the Securities Act of 1933, which requires companies issuing public securities to …
Surveillant And Counselor: A Reorientation In Compliance For Broker-Dealers,
2014
Brooklyn Law School
Surveillant And Counselor: A Reorientation In Compliance For Broker-Dealers, James A. Fanto
Faculty Scholarship
No abstract provided.
Bypassing Congress On Federal Debt: Executive Branch Options To Avoid Default,
2014
Duke Law School
Bypassing Congress On Federal Debt: Executive Branch Options To Avoid Default, Steven L. Schwarcz
Faculty Scholarship
Even a “technical” default by the United States on its debt, such as a delay in paying principal or interest due to Congress’s failure to raise the federal debt ceiling, could have serious systemic consequences, destroying financial markets and undermining job creation, consumer spending, and economic growth. The ongoing political gamesmanship between Congress and the Executive Branch has been threatening — and even if temporarily resolved, almost certainly will continue to threaten — such a default. The various options discussed in the media for averting a default have not been legally and pragmatically viable. This article proposes new options for …
From Revolutionary To Palace Guard: The Role And Requirements Of Intermediaries Under Proposed Regulation Crowdfunding,
2014
CrowdCheck, Inc.
From Revolutionary To Palace Guard: The Role And Requirements Of Intermediaries Under Proposed Regulation Crowdfunding, Andrew D. Stephenson, Brian R. Knight, Matthew Bahleda
Michigan Business & Entrepreneurial Law Review
Intermediaries in securities crowdfunding face significant requirements as a result of the statutory mandates of Title III of the JOBS Act. The SEC, in its proposed rules, provided structure to these requirements. The proposed rules would create strict requirements for intermediaries regarding their relationships with investors and how they undertake crowdfunding transactions under Section 4(a)(6) of the Securities Act. The proposed rules would also create and establish the guidelines for funding portals, a new type of limited purpose securities broker. While some commentators decry the SEC for placing undue burdens and legal liabilities on intermediaries in securities crowdfunding, the SEC …
The Jobs Act Trojan Horse: A Gift To Startups With Something Else Inside?,
2014
University of Michigan Ross School of Business
The Jobs Act Trojan Horse: A Gift To Startups With Something Else Inside?, Erik Gordon
Michigan Business & Entrepreneurial Law Review
This Comment will analyze which provisions of the Act are consistent with the purpose that sponsors would have the public believe, that emphasized by the name “JOBS Act,” and distinguish them from those provisions that serve as menacing soldiers hidden under the cover of a name that diverts attention from the Act’s true purpose.
Enhancing The Legal And Regulatory Environment For Investment In Social Enterprise,
2014
University of Michigan Law School
Enhancing The Legal And Regulatory Environment For Investment In Social Enterprise, Dilpreet K. Minhas
Michigan Business & Entrepreneurial Law Review
The objectives of this Note are: 1) to provide readers interested in social enterprise and entrepreneurship an introduction to these endeavors and the growing trend toward using them; 2) to present the challenges stemming from the legal and financial frameworks surrounding social investment activity, which can inhibit the survival and growth of social enterprises; and 3) to propose suggestions for addressing such challenges and limitations in order to better support the survival of social enterprise. Part II and Part III provide a broad perspective of the types of investment in and nurturing of social entrepreneurship in the U.S. Part IV …
Insider Trading And Other Securities Frauds In The United States: Lessons For Chile,
2014
Wöss & Partners, PPLC
Insider Trading And Other Securities Frauds In The United States: Lessons For Chile, Dante Figueroa
Michigan Business & Entrepreneurial Law Review
This Article is a comparative analysis of insider trading law in the United States and Chile. The study summarily reviews the historical, political, and legal foundations of insider trading regulation in both jurisdictions, identifying areas of convergence, as well as areas in which the Chilean securities market could benefit vis- ` a-vis the more advanced experience of the considerably larger American securities market. The Article also highlights the axiological closeness between both jurisdictions concerning the protection of inside corporate information and the fiduciary role of those who intervene in securities markets in their various capacities (as investors, shareholders, corporate officers, …
Legally "Strong" Shareholders Of Japan,
2014
University of Tokyo
Legally "Strong" Shareholders Of Japan, Gen Goto
Michigan Business & Entrepreneurial Law Review
Foreign investors often criticize Japanese corporations for not paying enough attention to the interests of their shareholders. It might surprise these critics, then, to learn that shareholders’ legal rights under the Japanese Companies Act are actually quite strong. Indeed, many of the rights that shareholders’ rights advocates often support, including shareholders’ power to alter a corporate charter without board consent, shareholders’ power to control dividend payments, majority voting for board elections, shareholders’ power to replace the board of directors, and shareholder access to a corporate ballot—all of which are strongly debated elsewhere— are already effective in Japan. Moreover, derivative suits …
Around The World Of Securities Fraud In Eighty Motions To Dismiss,
2014
University of Idaho College of Law
Around The World Of Securities Fraud In Eighty Motions To Dismiss, Wendy Gerwick Couture
Articles
No abstract provided.
The Pslra Discovery Stay Meets Complex Litigation: Five Questions Answered,
2014
University of Idaho College of Law
The Pslra Discovery Stay Meets Complex Litigation: Five Questions Answered, Wendy Gerwick Couture
Articles
No abstract provided.
Securities Regulation Of Alternative Litigation Finance,
2014
University of Idaho College of Law
Securities Regulation Of Alternative Litigation Finance, Wendy Gerwick Couture
Articles
No abstract provided.
