Securities Law Prof Blog

Commissioner Piwowar on Fiduciary Duties of Retail Investment Advisors

On September 30, 2014 in Washington, D.C., at the National Association of Plan Advisors D.C. Fly-In Forum, Commissioner Michael S. Piwowar delivered remarks on the fiduciary duties of retail investment advisors.

SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors

Details are available here.

IOSCO Issues a Report on Market-Based Financing for SMEs and Infrastructure

The International Organization of Securities Commissions (IOSCO) has published a report on capital market solutions in developed and emerging markets that have contributed to financing fro small and medium enterprises (SMEs) and infrastructure projects.  The press release is available here.

This Week in Securities Litigation

The SEC Actions Blog has compiled This Week In Securities Litigation (Week ending October 2, 2014).

New in Print

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

Quinn Curtis & John Morley, An Empirical Study of Mutual Fund Excessive Fee Litigation: Do the Merits Matter? 30 J.L. Econ. & Org. 275 (2014).

Thomas O. Gorman, Emerging Trends in FCPA Enforcement, 37 Fordham Int'l L.J. 1193 (2014).

Serena Y. Shi, Comment, Dragon's House of Cards: Perils of Investing in Variable Interest Entities Domiciled in the People's Republic of China and Listed in the United States, 37 Fordham Int'l L.J. 1265 (2014).

Zenichi Shishido, Does Law Matter to Financial Capitalism? The Case of Japanese Entrepreneurs, 37 Fordham Int'l L.J. 1087 (2014).

2013 Symposium, The Changing Politics of Central Banks, Keynote address by Daniel K. Tarullo; articles by Douglas R. Holmes and Annelise Riles. 47 Cornell Int'l L.J. 1-119 (2014).