Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

A Member of the Law Professor Blogs Network

Sunday, December 7, 2014

NASAA Issues Advisory on Third-Party Custodians of Self-Directed IRAs and Other Qualified Plans

Details available here.

December 7, 2014 | Permalink | Comments (0) | TrackBack (0)

This Week in Securities Litigation

The SEC Actions Blog has compiled This Week In Securities Litigation (December 5, 2014).

December 7, 2014 | Permalink | Comments (0) | TrackBack (0)

Monday, December 1, 2014

New in Print

The following law review articles relating to securities regulation are now available in paper format:

Eric C. Chaffee, From Legalized Business Ethics to International Trade Regulation: The Role of the Foreign Corrupt Practices Act and Other Transnational Anti-Bribery Regulations in Fighting Corruption in International Trade, 65 Mercer L. Rev. 701 (2014).

Tanya Lambrechts, Note, Retail Investments in Precious and Industrial Metals: Mining for Proper Regulation Aimed Toward Investor Strategy, 41 Fla. St. U. L. Rev. 799 (2014).

Larissa Lee, Note, The Ban Has Lifted: Now Is the Time to Change the Accredited-Investor Standard, 2014 Utah L. Rev. 369.

Ralph C. Mayrell, Too Complex to Perceive? Drafting Cash Distribution Waterfalls Directly as Code to Reduce Complexity and Legal Risk in Structured Finance, Master Limited Partnership, and Private Equity Transactions, 34 Pace L. Rev. 349 (2014).

Charles W. Murdock, Janis Capital Group v. First Derivative Traders: The Culmination of the Supreme Court's Evolution from Liberal to Reactionary in Rule 10b-5 Actions, 91 Denv. U. L. Rev. 369 (2014).

December 1, 2014 | Permalink | Comments (0) | TrackBack (0)

Monday, November 17, 2014

New in Print

The following law review articles relating to securities regulation are now available in paper format:

Vinicius Adam, Student Article, Keeping the Boardroom Honest: Fiduciary Duties, Information Asymmetry, and Regulating Corporate Behavior in Mortgage-Backed Securities Transactions, 43 Stetson L. Rev. 369 (2014).

Kristin Isaacson, Note, Minimizing the Menace of the Foreign Corrupt Practices Act, 2014 U. Ill. L. Rev. 597.

Jane Trueper, Comment, 10b5-1 Plans: Further Obscuring the "Smoking Gun" and Proposals for Change, 16 U. Pa. J. Bus. L. 937 (2014).

Natasha N. Wilson, Note, Pushing the Limits of Jurisdiction Over Foreign Actors Under the Foreign Corrupt Practices Act, 91 Wash. U. L. Rev. 1063 (2014).

Symposium, The Securities Act of 1933 at 80: Does It Provide a Fair and Efficient Access to Capital?, Articles by Rutheford B Campbell, Jr., James D. Cox, Joan MacLeod Heminway, Donald C. Langevoort, Robert B. Thompson, Usha Rodrigues, William K. Sjostrom, Jr. and Manning Gilbert Warren III. 102 Ky. L.J. 815-1030 (2013-2014).

November 17, 2014 | Permalink | Comments (0) | TrackBack (0)

Friday, November 14, 2014

This Week in Securities Litigation

SEC and SBA to Host Event on Small Business Capital Raising Prior to Small Business Forum

Details available here.

November 14, 2014 | Permalink | Comments (0) | TrackBack (0)

SEC Announces Agenda and Panelists for Small Business Forum

Details available here.

November 14, 2014 | Permalink | Comments (0) | TrackBack (0)

Saturday, November 8, 2014

This Week in Securities Litigation

New in Print

The following law review articles relating to securities regulation are now available in paper format:

Joanna B. Apolinsky, The Boundaries of Fraud Under the Insider Trading Rules, 13 Fla. St. U. Bus. Rev. 1 (2014).

R. Kevin II Saunders, Note, Power to the People: How the SEC Can Empower the Crowd, 16 Vand. J. Ent. & Tech. L. 945 (2014).

Richard Stone, Right for the Wrong Reason: What the Supreme Court Could Have Reasoned in Troice, 13 Fla. St. U. Bus. Rev. 131 (2014).

November 8, 2014 | Permalink | Comments (0) | TrackBack (0)

IOSCO Publishes a Strategic Framework for Investor Education and Financial Literacy

The report is available here, and the press release is available here.

November 8, 2014 | Permalink | Comments (0) | TrackBack (0)

Saturday, November 1, 2014

This Week in Securities Litigation

New in Print

The following law review articles relating to securities regulation are now available in paper format:

Shauna C. Guner, Comment, The Securities Fraud Victim's Dilemma: Why California Should Reject Inquiry Notice, 50 Cal. W. L. Rev. 287 (2014).

Sean M. O'Connor, Crowdfunding's Impact on Start-Up IP Strategy, 21 Geo. Mason L. Rev. 895 (2014).

November 1, 2014 | Permalink | Comments (0) | TrackBack (0)

Thursday, October 30, 2014

A NASAA Presidential Conversation: William Beatty and Andrea Seidt

The North American Securities Administrator Association has posted remarks given at NASAA’s Annual Conference on September 16, 2014 by William Beatty, NASAA President and Washington Securities Director, and Andrea Seidt, NASAA Past President and Ohio Securities Commissioner.

October 30, 2014 | Permalink | Comments (0) | TrackBack (0)

NASAA Insight, Fall 2014

The North American Securities Administrators Association has published its fall 2014 issue of Insight.  According to the press release, this issue of the newsletter contains the information about the following:

  • William Beatty Elected NASAA President
  • NASAA Launches Initiative Focusing on Seniors
  • President’s Message
  • States See Increase in Prison Sentences for Securities Law Violators
  • NASAA Working Toward Improved Fee Disclosure
  • Survey Explores IA Cybersecurity Risk
  • A Presidential Conversation
  • Annual Conference Photo Gallery
  • NASAA Recognizes Accomplishments of Members

October 30, 2014 | Permalink | Comments (0) | TrackBack (0)

NASAA Cautions Investors to Guard Against Ebola-Related Scams

Details available here.

October 30, 2014 | Permalink | Comments (0) | TrackBack (0)

New in Print

The following law review articles relating to securities regulation are now available in paper format:

Lucian A. Bebchuk & Allen Ferrell, Rethinking Basic, 69 Bus. Law. 671 (2014). 

Thomas A. Dubbs, Textualism and Transnational Securities Law:  A Reappraisal of Justice Scalia's Analysis in Morrison v. National Australia Bank, 20 Sw. J. Int'l L. 227 (2014).

Survey--Federal Regulation of Securities, 69 Bus. Law. 823-902 (2014). 

Celia R. Taylor, Drowning in Disclosure:  The Overburdening of the Securities & Exchange Commission, 8 Va. L. & Bus. Rev. 85-120 (2014).

 

 

October 30, 2014 | Permalink | Comments (0) | TrackBack (0)

Monday, October 20, 2014

New in Print

The following law review articles relating to securities regulation are now available in paper format:

John P. Anderson, Greed, Envy, and the Criminalization of Insider Trading, 2014 Utah L. Rev. 1.

J. Scott Colesanti, Other People's Volatility: A Call for Rules that More Equitably Stabilize the Stock Market, 39 U. Dayton L. Rev. 1 (2013).

Michael Deshmukh, Note, Is FINRA a State Actor? A Question ghat Exposes the Flaws of the State Action Doctrine and Suggests a Way to Redeem It, 67 Vand. L. Rev. 1173 (2014).

Alison B. Miller, Note, Navigating the Disclosure Dilemma: Corporate Illegality and the Federal Securities Laws, 102 Geo. L.J. 1647 (2014).

October 20, 2014 | Permalink | Comments (0) | TrackBack (0)

Friday, October 17, 2014

SEC’s FY 2014 Enforcement Actions Span Securities Industry and Include First-Ever Cases

Details available here.

October 17, 2014 | Permalink | Comments (0) | TrackBack (0)

SEC Announces Date for Annual Government-Business Forum on Small Business Capital Formation

Details available here.

October 17, 2014 | Permalink | Comments (0) | TrackBack (0)

This Week in Securities Litigation