Securities Law Prof Blog

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

Thursday, July 17, 2014

Rapp on SOX and Dodd-Frank

Geoffrey Christopher Rapp has posted Are SOX and Dodd-Frank Securities Laws? The Answer is 'Up in the Air' on SSRN with the following abstract:

This contribution to the 2013 Instittue for Investor Protection Conference poses and addresses the question of whether the whistleblower provisions of SOX and Dodd-Frank raise the same set of policy concerns as private securities litigation, which have undergirded an increasingly skeptical approach from the bench over the past 20 years. Using the Court's recent decision in Lawson v. FMR LLC, the essay argues that the whistleblower provisions of SOX and Dodd-Frank do not raise the same set of concerns that have justified courts' hostile treatment of securities litigation.

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