Securities Law Prof Blog

This Week in Securities Litigation

The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending March 21, 2014).

New in Print

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

Katherine J. Baudistel, Note, Bankruptcy-Remote Special Purpose Entities: An Opportunity for Investors to Maximize the Value of Their Returns While Undergoing More Careful and Realistic Risk Analysis, 86 S. Cal. L. Rev. 1309 (2013).

Michael J. Gerhardt, On Candor, Free Enterprise Fund, and the Theory of the Unitary Executive, 22 Wm. & Mary Bill Rts. J. 337 (2013).

Samantha Jacoby, Comment, Solar-Backed Securities: Opportunities, Risks, and the Specter of the Subprime Mortgage Crisis, 162 U. Pa. L. Rev. 203 (2013).

Gabriel D. Rosenberg & Jai R. Massari, Regulation through Substitution as Policy Tool: Swap Futurization under Dodd-Frank, 2013 Colum. Bus. L. Rev. 667.

Tamara S. Smallman, Note, The Glass Boardroom: The SEC's Role in Cracking the Door Open So Women May Enter, 2013 Colum. Bus. L. Rev. 801.

Stacie K. Townsend, Note, The Jumpstart Our Business Startups Act Takes the Bite Out of Sarbanes-Oxley: Adding Corporate Governance to the Discussion, 99 Iowa L. Rev. 893 (2014).

Leah M. Trzcinski, Note, The Impact of the Foreign Corrupt Practices Act on Emerging Markets: Company Decision-Making in a Regulated World, 45 N.Y.U. J. Int'l L. & Pol. 1201 (2013).

Dolgopolov on the Maker-Taker Pricing Model and Securities Fraud

Stanislav Dolgopolov has posted The Maker-Taker Pricing Model and Its Impact on the Securities Market Structure: A Can of Worms for Securities Fraud? on SSRN with the following abstract:

This Article examines the maker-taker pricing model, one of the key financial innovations, and its significance for the securities market structure in the context of securities fraud. While addressing the nature, origins, and variations of the maker-taker pricing model, the Article focuses on the implications of this financial innovation for fraudulent practices and the applicable regulatory framework from the angles of the duty of best execution, the boundaries of market manipulation, the order type controversy, trading obligations and privileges of market makers, and various reform proposals.

New in Print

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

Catherine G. Dearlove & A. Jacob Werrett, Proxy Access by Private Ordering: A Review of the 2012 and 2013 Proxy Seasons, 69 Bus. Law. 155 (2013).

Bryan Denberg, Note, Paying the Toll to be Class Member: The Impact of American Pipe Doctrine on Section 13 of the Securities Act of 1933, 87 St. John's L. Rev. 239 (2013).

Brent J. Horton, Toward a More Perfect Substitute: How Pressure on the Issuers of Private-Label Mortgage-Backed Securities Can Improve the Accuracy of Ratings, 93 B.U. L. Rev. 1905 (2013).

Todd B. Pfister & Aubrey Refuerzo, New NYSE and NASDAQ Listing Rules Raise the Accountability of Company Boards and Compensation Committees through Flexible Standards, 69 Bus. Law. 135-154 (2013).

Limor Riza, Should Tax Law Mind Minority and Monitor Majority: The Case of Undistributed Dividends and the Ability-to-Pay Principle, 13 Hous. Bus. & Tax L.J. 86 (2013).

Symposium, The Growth and Importance of Compliance in Financial Firms: Meaning and Implications,  8 Brook. J. Corp. Fin. & Com. L. 1-133 (2013) (featuring an introduction by James A. Fanto and articles by Barbara Black, Deborah A. DeMott, Tamar Frankel and Jerry W. Markham).

This Week in Securities Litigation

The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending March 14, 2014).

New in Print

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

James M. Alexander, Case Comment, Securities Law--Second Circuit Accepts Rule 10b-5 Pleading of Economic Loss after Share-Price Recovery, 46 Suffolk U.L. Rev. 1249 (2013). 

Barbara Black, Curbing Broker-Dealers' Abusive Sales Practices: Does Professor Jensen's Integrity Framework Offer a Better Approach?, 48 Wake Forest L. Rev. 771 (2013).

Selby P. Brown, Comment, Don't Throw the Baby Out with the Bath Water: The Merits of the Intermediate Approach to the Securities Litigation Uniform Standards Act, 66 Okla. L. Rev. 363 (2014).

George Lee, Jr. Flint, Securities Regulation, 66 SMU L. Rev. 1129 (2013).

Wulf A. Kaal, Dynamic Regulation of the Financial Services Industry, 48 Wake Forest L. Rev. 791 (2013).

Thomas Kayes, Note, Jury Certification of Federal Securities Fraud Class Actions, 107 Nw. U. L. Rev. 1851 (2013).

Alexander Muravyev, Investor Protection and the Value of Shares: Evidence from Statutory Rules Governing Variations of Shareholders' Class Rights in an Emerging Market, 29 J.L. Econ. & Org. 1344 (2013).

Kenneth M. Rosen, Financial Intermediaries as Principals and Agents, 48 Wake Forest L. Rev. 625 (2013).

Halliburton v. Erica P. John Fund: Oral Argument Transacript

The oral argument transacript for Halliburton v. Erica P. John Fund is available here.

Supreme Court of the United States Narrows the Scope of SLUSA

The Supreme Court of the United States has released its opinion in Chadbourne & Parke LLP v. Troice.

Commissioner Piwowar on International Financial Regulation

On March 6, 2014, Commissioner Michael S. Piwowar delivered remarks on international financial regulation at the Remarks at AIMA Global Policy & Regulatory Forum in New York, New York.

Commissioner Gallagher on Capital Requirements

On March 3, 2014, Commissioner Daniel M. Gallagher delivered remarks on capital requirements at the Institute of International Bankers 25th Annual Washington Conference.

This Week in Securities Litigation

The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending March 7, 2014).