Securities Law Prof Blog

New Securities Law Articles in Print

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

Shawn Grant, Caution, Curves Ahead: Does the Future Signal Changes for Whistleblowers?, 42 Seton Hall Legis. J. 1 (2017).

Joseph D. Heinz, Comment, Spoofing: Ineffective Regulation Increases Market Inefficiency, 67 DePaul L. Rev. 77 (2017).

Andrew P. Van Osselaer, Note, Insider Trading Enforcement & Link Prediction, 96 Tex. L. Rev. 399 (2017).

Winship on Insider Trading

 Verity Winship has posted Disgorgement in Insider Trading Cases: FY2005-FY2015 on SSRN with the following abstract:

For about 50 years – at least since Texas Gulf Sulphur – the SEC has ordered defendants to disgorge their profits from transactions that violated the securities laws. Despite disgorgement’s long history, in its 2017 opinion in Kokesh v. SEC, the US Supreme Court put two aspects of the remedy on the table. It applied a five-year statute of limitations to disgorgement. It also reopened old questions about agencies’ power to seek remedies not specified in statute. This article provides data to inform these debates over the agency’s use of disgorgement and the effects of Kokesh. It reports the results of an empirical study of ten years of the remedies ordered by the SEC in insider trading actions, with particular emphasis on the agency’s reliance on disgorgement. It finds widespread reliance on disgorgement, but also identifies aspects of its use that may limit Kokesh’s effects in this area.

New Securities Law Article in Print

The following law review article relating to securities regulation is now available in paper format:

Jayme Herschkopf, Morality and Securities Fraud, 101 Marq. L. Rev. 453 (2017).

New Securities Law Articles in Print

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

Jill E. Fisch, Jonah B. Gelbach & Jonathan Klick, The Logic and Limits of Event Studies in Securities Fraud Litigation, 96 Tex. L. Rev. 553 (2018).

Andrew Verstein, Insider Tainting: Strategic Tipping of Material Nonpublic Information, 112 Nw. U. L. Rev. 725 (2018).

 

New Securities Law Articles in Print

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

Court E. Golumbic, "The Big Chill": Personal Liability and the Targeting of Financial Sector Compliance Officers, 69 Hastings L.J. 45 (2017).

Michael Stephen Hayes, Case comment, Securities Law--Tenth Circuit Holds that the SEC Unconstitutionally Appoints Its Administrative Law Judges--Bandimere v. SEC, 844 F.3d 1168 (10th Cir. 2016), 50 Suffolk U.L. Rev. 761 (2017).

New Securities Law Articles in Print

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

Benjamin Joon-Buhm Lee, Comment, Saving the Korean Securities Class Action, 39 U. Pa. J. Int'l L. 247 (2017).

Brian Kingsley Krumm, Fostering Innovation and Entrepreneurship: Shark Tank Shouldn't be the Model, 70 Ark. L. Rev. 553 (2017).

Yaron Nili, Out of Sight, Out of Mind: The Case for Improving Director Independence Disclosure, 43 J. Corp. L. 35 (2017).

Casey M. Olesen, Case note, Creating Mischief: The Tenth Circuit Declares the SEC's Administrative Law Judges Unconstitutional in Bandimere v. Securities Exchange Commission, 70 Me. L. Rev. 137 (2017).

Amanda M. Rose, The "Reasonable Investor" of Federal Securities Law: Insights from Tort Law's "Reasonable Person" & Suggested Reforms, 43 J. Corp. L. 77 (2017).

Kurt S. Schulzke & Gerlinde Berger-Walliser, Toward a Unified Theory of Materiality in Securities Law, 56 Colum. J. Transnat'l L. 6-70 (2017).

Megan Woodward, Note, The Need for Speed: Regulatory Approaches to High Frequency Trading in the United States and the European Union, 50 Vand. J. Transnat'l L. 1359 (2017).