Securities Law Prof Blog

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

Tuesday, April 9, 2024

New Securities Law Article in Print

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

Robin Hui Huang & Weixia Gu, China's Recognition and Enforcement of Foreign Securities Judgments against Overseas-Listed Chinese Companies, 26 J. Int'l Econ. L. 577 (2023).

April 9, 2024 | Permalink | Comments (0)

Monday, March 25, 2024

New Securities Law Articles in Print

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

Quinn Curtis, Jill Fisch & Adriana Z. Robertson, Do ESG Mutual Funds Deliver on Their Promises?, 53 Env't L. Rep. 10630 (2023).

Stephen Hall, Regulation of ESG Investing Is Still Necessary, 53 Env't L. Rep. 10637 (2023).

Anne Kelly, ESG Is Investment Strategy, 53 Env't L. Rep. 10640 (2023).

Ken Krmoyan, Note, Immigration Incentives in FCPA Enforcement: The Case for Protecting At-Risk Foreign Whistleblowers, 73 Duke L.J. 657 (2023).

Robin Morgan, The Taxation of Treasury Inflation Protected Securities: Are They Tax-Disadvantaged?, 26 Fla. Tax Rev. 1 (2022).

March 25, 2024 | Permalink | Comments (0)

Monday, March 11, 2024

New Securities Law Articles in Print

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

Jessica Biggott, Comment, Breaking the Green Washing Wave: The Need for ESG-Friendly Securities Fraud Class Action Standards Post-Goldman Sachs Group, Inc. v. Arkansas Teacher Retirement System, 2023 Wis. L. Rev. 1449 (2023).

Joshua S. Almond, Note, Fund Finance Fraud: JES Global Capital and Implications for Subscription Line Lender Due Diligence, 27 N.C. Bank. Inst. 210 (2023).

Caleb F. Boldt, Note, What Is in Our Best Interest? Are Educational Digital Engagement Practices a Way to Avoid Pending Gamification Regulation?, 27 N.C. Bank. Inst. 382 (2023).

Gunjan D. Devnani, Note, Creating a Path to Regulation—Digital Assets, Howey, and the Regulatory Dilemma, 27 N.C. Bank. Inst. 399 (2023).

Hannah M. Dunaway, Note, "Breaking the Bank" Mergers: How Bank Consolidation is Hurting Communities, 27 N.C. Bank. Inst. 108 (2023).

Meghan K. Fernandez, Note, Incorporating the Supply Chain into the SEC's Human Capital Disclosure Requirements, 27 N.C. Bank. Inst. 419 (2023).

Chris Pappavaselio, Student Article, Back to Basics in Securities Fraud Class Actions: The Case for Rewinding the Basic Presumption, 20 Berkeley Bus. L.J. 316 (2023).

Matthew R. Stersic, Note, Cooling-off or Completely Freezing? Rule 10b5-1 Insider Trading Plans' Cooling-Off Periods, 27 N.C. Bank. Inst. 494 (2023).

Amanda K. Williams, Comment, Closing a Loophole in Exchange Act Enforcement: A Framework for Assessing the Enforceability of Delaware Forum Selection Bylaws in the Context of Derivative § 14(a) Claims, 90 U. Chi. L. Rev. 2355 (2023).

March 11, 2024 | Permalink | Comments (0)

New Securities Law Articles in Print

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

Janet Austin, Stock Markets Play 'Whack a Mole' with Pump and Dump Schemes, 23 U.C. Davis Bus. L.J. 1 (2023).

S. Isaac Brown, Note, The Wild West, Cryptocurrency, and Singapore: Why the United States Should Follow Singapore's Lead in Cryptocurrency Regulation, 33 Ind. Int'l & Comp. L. Rev. 191 (2023).

Frank Emmert, The Long Arm of the SEC in the Regulation of Digital Currencies, 33 Ind. Int'l & Comp. L. Rev. 1 (2023).

Christopher Hugh Mao, Student Article, Imperfect Digital Certificates of Provenance: A Categorical Risk-Based Approach to Non-Fungible Tokens (NFTs), 21 Colo. Tech. L.J. 21 (2023).

Kevin Ofchus, Cracking the Shield: CDA Section 230, Algorithms, and Product Liability, 46 UALR L. Rev. 27 (2023).

Morenike Saula, U.S. Securities Law as a Barrier to Entry for Foreign Funds, 23 U.C. Davis Bus. L.J. 205 (2023).

Rodney A. Smolla, Why the SEC Gag Rule Silencing Those Who Settle SEC Investigations Violates the First Amendment, 29 Widener L. Rev. 1 (2023).

March 11, 2024 | Permalink | Comments (0)

Friday, February 9, 2024

New Securities Law Articles in Print

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

Sandeep Singh Dhaliwal, Investing in Abolition, 112 Geo. L.J. 1 (2023).

Fernan Restrepo, The Capital Market Effects of Introducing Private Rights of Action in Securities Regulation: Evidence from the United Kingdom, 66 J.L. & Econ. 183 (2023).

February 9, 2024 | Permalink | Comments (0)

Thursday, February 1, 2024

New Securities Law Articles in Print

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

Yuliya Guseva & Irena Hutton, Regulatory Fragmentation: Investor Reaction to SEC and CFTC Enforcement in Crypto Markets, 64 B.C. L. Rev. 1555 (2023).

Joon Buhm Lee, Where Is the Action?: Choosing Securities Joinder Action over Securities Class Action in Korea, 22 J. Int'l Bus. & L. 68 (2023).

Michael Morelli, Courts, Competence, and Competition: Brewing Tensions between Administrative, Antitrust, and Securities Law, 64 B.C. L. Rev. 1615 (2023).


February 1, 2024 | Permalink | Comments (0)

Thursday, January 25, 2024

New Securities Law Articles in Print

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

Ilya Beylin, ESG-Linked Swaps and the next Chapter of Regulatory Innovation, 42 Rev. Banking & Fin. L. 755 (2023).

Carl S. Bjerre, Investment Securities, 78 Bus. Law. 1263 (2023).

Brian Haney, Cryptosecurity: An Analysis of Cryptocurrency Security and Securities, 24 Tul. J. Tech. & Intell. Prop. 25 (2022).

Aaron Kane, Congressional Insider Trading Lives On: Not Even a Global Pandemic Could Stop It, 15 Alb. Gov't L. Rev. 101 (2022).

Israel Klein, Voting on Reporting, 48 J. Corp. L. 777 (2023).

Mohsen Manesh & Joseph A. Grundfest, Abandoned and Split, but Never Revered: Borak and Federal Derivative Litigation, 78 Bus. Law. 1047 (2023).

Aaron M. Schutt, ANCSA Corporation Proxy Wars, 39 Alaska L. Rev. 49 (2022).

Matthew T. Wansley & Samuel N. Weinstein, Venture Predation, 48 J. Corp. L. 813 (2023).

Juliana Wendt, Note, Regulation Fix? Recommendations for the SEC regarding Digital Engagement Practices & PDA, 42 Rev. Banking & Fin. L. 1009 (2023).

January 25, 2024 | Permalink | Comments (0)

Tuesday, January 9, 2024

New Securities Law Articles in Print

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

Lauren Au, Note, Fractionalization to Securitization: How the SEC May Regulate the Emerging Asset of NFTs, 96 S. Cal. L. Rev. 253 (2022).

Patrick Dunbar, Comment, The SEC's Ice-Cold Take on Climate Disclosure: Is the 2010 Interpretive Climate Guidance Working?, 33 Vill. Env't L.J. 37 (2022).

Adi Grinapell, What Drives the Use of Dual-Class Structures in Technology IPOs?, 17 J.L. Econ. & Pol'y 28 (2022).

Mohsen Manesh & Joseph A. Grundfest, The Corporate Contract and Shareholder Arbitration, 98 N.Y.U. L. Rev. 1106 (2023).

Robel Tsegu, Casenote, Cryptocurrency and Security Issues: The Tide Awaiting Ripple's Decision, 25 SMU Sci. & Tech. L. Rev. 95 (2022).

January 9, 2024 | Permalink | Comments (0)

Thursday, December 28, 2023

New Securities Law Article in Print

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

James Britton, Beth Brownstein & Justin Kesselman, Increasing Transfer Security for Securities: Application of the Section 546(e) Safe Harbor to Trust Indentures, 31 Am. Bankr. Inst. L. Rev. 205 (2023).

December 28, 2023 | Permalink | Comments (0)

Monday, December 18, 2023

New Securities Law Articles in Print

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

Thomas M. Madden & Gerlinde Berger-Walliser, Making Sense of ESG with the SEC, 25 U. Pa. J. Bus. L. 927 (2023).

Isaac Mamaysky, The Investment Adviser Marketing Rule: An Analysis and Compliance Guide, 62 Washburn L.J. 541 (2023).

Robert A. Robertson & Kimberly Church, SEC "Authority" and the "Major Questions" Doctrine, 17 Va. L. & Bus. Rev. 335 (2023).

Lauren Trombetta, Student Article, Jet-Setting to Napa Vineyards and Las Vegas Casinos on the Company's Dime: How the SEC's Recent Enforcement Actions Expose the Need for Executive Perquisite Reform, 111 Cal. L. Rev. 1267 (2023).

December 18, 2023 | Permalink | Comments (0)

Sunday, December 17, 2023

New Securities Law Articles in Print

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

Aaron A. Dhir, Sarah Kaplan & Maria Arabella Robles, Corporate Governance and Gender Equality: A Study of Comply-or-Explain Disclosure Regulation, 46 Seattle U. L. Rev. 523 (2023).

Caleb N. Griffin, Humanizing Corporate Governance, 75 Fla. L. Rev. 689 (2023).

Sue S. Guan, The Rise of the Finfluencer, 19 N.Y.U. J.L. & Bus. 489 (2023).

Shitong Qiao, Finance against Law: The Case of China, 64 Harv. Int'l L.J. 431 (2023).

December 17, 2023 | Permalink | Comments (0)

Tuesday, November 28, 2023

New Securities Law Article in Print

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

Anna Bailey, Note, Disclosing ESG Matters: Advance Nonfinancial Policy through the SEC, 47 Wm. & Mary Env't L. & Pol'y Rev. 407 (2023).

November 28, 2023 | Permalink | Comments (0)

Saturday, November 25, 2023

New Securities Law Articles in Print

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

Tanner Gattuso, Comment, The Panuwat Snowball: Correlation Does Not Equal Materiality, 72 Cath. U. L. Rev. 415 (2023).

Brent J. Horton, Direct Listings and the Weakening of Investor Protections, 50 Fla. St. U. L. Rev. 279 (2023).

Robert F. Weber, The Securities Law Disclosure Conundrum for Publicly Traded Litigation Finance Companies, 56 U. Mich. J.L. Reform 699 (2023).

November 25, 2023 | Permalink | Comments (0)

Tuesday, November 7, 2023

New Securities Law Articles in Print

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

Sierra Anderson, Comment, Criminalizing ESG: A Framework to Hold Corporations Accountable for Incorrect ESG Disclosures, 113 J. Crim. L. & Criminology 174 (2023).

Vittoria Battocletti, Luca Enriques & Alessandro Romano, Dual-Class Shares in the Age of Common Ownership, 48 J. Corp. L. 541 (2023).

Sean J. Griffith, What's "Controversial" about ESG? A Theory of Compelled Commercial Speech under the First Amendment, 101 Neb. L. Rev. 876 (2023).

Andrew K. Jennings, Disclosure Procedure, 82 Md. L. Rev. 920 (2023).

Caroline Moriarty, Note, Is RealT Reality? Investigating the Use of Blockchain Technology and Tokenization in Real Estate Transactions, 24 Minn. J.L. Sci. & Tech. 471 (2023).

David Nows, Equity Crowdfunding and the Lead Investor, 24 N.C. J.L. & Tech. 33 (2023).

Johnson A. Salisbury Jr., Comment, To Have or Have Not: The Limits of Comply-or-Explain Governance in an American Exchange, 72 Emory L.J. 1485 (2023).

Bernard S. Sharfman, Opportunism in the Shareholder Voting and Engagement of the "Big Three" Investment Advisers to Index Funds, 48 J. Corp. L. 463 (2023).

Andrew F. Tuch, Fairness Opinions and SPAC Reform, 100 Wash. U. L. Rev. 1793 (2023).

November 7, 2023 | Permalink | Comments (0)

Monday, October 23, 2023

New Securities Law Article in Print

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

Wulf A. Kaal & Hayley A. Howe, Custody of Digital Assets, 63 Jurimetrics 169 (2023).

October 23, 2023 | Permalink | Comments (0)

Wednesday, October 18, 2023

New Securities Law Articles in Print

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

Miriam H. Baer, Corporate Compliance's Achilles Heel, 78 Bus. Law. 791 (2023).

Stephen M. Bainbridge, Sarbanes-Oxley § 404 at Twenty, 78 Bus. Law. 647 (2023).

Alina Ball, Social Enterprise Governance Post-SOX, 78 Bus. Law. 765 (2023).

Carlos Berdejo, SOX X-Border, 78 Bus. Law. 705 (2023).

Cecilia Bremner, Comment, The Value of Regulating Climate Disclosures, 53 Env't L. 107 (2023).

W. C. Bunting, A Simple Unifying Framework for Categorizing Disparate Risk Transactions: Securities Investments, Insurance, Gambling, and Derivative Contracts, 25 U. Pa. J. Bus. L. 295 (2023).

James D. Cox, SOX's Impact on the Quality of Financial Reporting, 78 Bus. Law. 685 (2023).

Theresa A. Gabaldon, Party Games: The Supreme Court's 21st Century Jurisprudence by Telephone, 75 Rutgers U.L. Rev. 1 (2022).

Allan Horwich & Crista M. Brawley, Insider Trading in the Clinical Trial Setting, 20 Ind. Health L. Rev. 199 (2023).

Yoon-Ho Alex Lee, Sarbanes-Oxley Section 404 and Its Administrative Legacy, 78 Bus. Law. 741 (2023).

James J. Park, The Need for Sarbanes-Oxley, 78 Bus. Law. 633 (2023).

James J. Park, Sarbanes-Oxley at 20, 78 Bus. Law. 629 (2023).

Paul Rose, Functional Federalization of Corporate Governance since Sarbanes-Oxley, 78 Bus. Law. 721 (2023).

Scott J. Shackelford, Angie Raymond, Martin A. McCrory & Andrea Bonime-Blanc, Cyber Silent Spring: Leveraging ESG+T Frameworks and Trustmarks to Better Inform Investors and Consumers about the Sustainability, Cybersecurity, and Privacy of Internet-Connected Devices, 25 U. Pa. J. Bus. L. 505-558 (2023).

Urska Velikonja, How Fair Funds Changed Public Compensation and Strengthened SEC Enforcement, 78 Bus. Law. 667 (2023).

October 18, 2023 | Permalink | Comments (0)

New Securities Law Articles in Print

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

Mitchell Carlson, Note, (Private) Market Mania: Assessing the Impact of Private Market Booms on Venture Capital-Backed Startup Governance, 19 Hastings Bus. L.J. 199 (2023).

Lawrence A. Cunningham, Who Are Quality Shareholders and Why You Should Care, 47 Del. J. Corp. L. 575 (2023).

Ronit Donyets-Kedar & Ofer Sitbon, Hiding in Plain Sight: Corporate Legal Responsibility, 29 Sw. J. Int'l L. 76 (2023).

Gideon Mark, Cannabis Securities Litigation, 46 Seton Hall Legis. J. 557 (2022).

Jerry W. Markham, Securities and Exchange Commission vs. Kim Kardashian, Cryptocurrencies and the "Major Questions Doctrine", 14 Wm. & Mary Bus. L. Rev. 515 (2023).

Rebecca Parry & Qingxiu Bu, The Future of China's U.S.-Listed Firms: Legal and Political Perspectives on Possible Decoupling, 14 Wm. & Mary Bus. L. Rev. 641 (2023).

Amanda M. Rose, SPAC Mergers, IPOs, and the PSLRA's Safe Harbor: Unpacking Claims of Regulatory Arbitrage, 64 Wm. & Mary L. Rev. 1757 (2023).

Paul Rose, Sustainability Verification, 72 Am. U. L. Rev. 1017 (2023).

Justin Silverberg, Google, I Mean Big Brother, Is Always Listening, 19 Hastings Bus. L.J. 123 (2023).

Nicholas Vota, Note, SPACs, Forward-Looking Statements, and Rule 419: Is SEC Rulemaking Needed?, 96 St. John's L. Rev. 765 (2022).

October 18, 2023 | Permalink | Comments (0)

Thursday, October 5, 2023

New Securities Law Articles in Print

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

Paul Andersen, Comment, Will the FTX Collapse Finally Force U.S. Policymakers to Wake Up?: Regulatory Solutions for Cryptocurrency Tokens Not Classified as Securities under the Supreme Court's Howey Analysis, 18 J. Bus. & Tech. L. 251 (2023).

J. Robert Brown Jr. & Eli Wald, Chilling Climate Change Disclosure: The Enabling Role of Corporate Counsel in Management Misstatements of ESG Matters, 72 DePaul L. Rev. 585 (2023).

October 5, 2023 | Permalink | Comments (0)

Sunday, September 24, 2023

New Securities Law Articles in Print

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

Madison Condon, What's Scope 3 Good For?, 56 UC Davis L. Rev. 1921 (2023).

Henry David Gale, Note, "Buy GameStop!": The Need to Rethink the Approach to Market Manipulation in a WallStreetBets World, 108 Iowa L. Rev. 1923 (2023).

George S. Georgiev, The Market-Essential Role of Corporate Climate Disclosure, 56 UC Davis L. Rev. 2105 (2023).

Scott Hirst, Saving Climate Disclosure, 28 Stan. J.L. Bus. & Fin. 91 (2023).

Virginia Harper Ho, Climate Disclosure Line-Drawing & Securities Regulation, 56 UC Davis L. Rev. 1875 (2023).

Aniket Kesari, Predicting Cybersecurity Incidents with Machine Learning and Mandatory Disclosure Regulation, 2022 U. Ill. J.L. Tech. & Pol'y 57 (2022).

Samantha M. Mariani, Note, Environmental, Social, and Governance (ESG) Matters: Can the SEC Mandate Disclosure? Should the SEC Mandate Disclosure?, 37 Notre Dame J.L. Ethics & Pub. Pol'y 369 (2023).

Joshua Mitts, Passive Exit, 28 Stan. J.L. Bus. & Fin. 155 (2023).

Haley Nieh, Note, Placing a Bid: A Comparison of the Traditional Marketplace (Stocks) and Non-Traditional Markets (NFTs), 39 Santa Clara High Tech. L. J. 231 (2023).

Veronica Oviedo, Note, Corporations' Contracts with ICE Have an Explicit and Implicit Duty to Protect Immigrant Detainees, 41 J.L. & Com. 175 (2022).

Nick G. Schwake, Note, What Is Material?: Creating a Conducive Environment for Climate-Related Information Disclosure in the Oil and Gas Industry, 108 Iowa L. Rev. 1959 (2023).

September 24, 2023 | Permalink | Comments (0)

New Securities Law Articles in Print

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

Atinuke O. Adediran, Disclosing Corporate Diversity, 109 Va. L. Rev. 307 (2023).

Matt Donovan, Note, Ripple Effect: The SEC's Major Questions Doctrine Problem, 91 Fordham L. Rev. 2309 (2023).

Kevin R. Douglas, How Fatal Ambiguity Undermines Effective Insider Trading Reform, 48 J. Corp. L. 353 (2023).

Tanner Dowdy, Comment, Stop the Games: How Broker-Dealer Gamification Affronts Antitrust, 91 U. Cin. L. Rev. 889 (2023).

Jesse M.  Fried & Ehud Kamar, China and the Rise of Law-Proof Insiders, 48 J. Corp. L. 215 (2023).

Mitu Gulati & Richard C. Schragger, Do Investors Care about Municipal Debtors' Access to Bankruptcy? Evidence from Bond Disclosures, 50 Fordham Urb. L.J. 657 (2023).

Boutros Imad, The Meme Stock Bidding War Viewed from the Lenses of the American and Canadian Securities Regulators, 48 U. Dayton L. Rev. 193 (2023).

Kayla Kershen, Note, SEC v. Panuwat: The Federal Pursuit of Shadow Trading, 17 Brook. J. Corp. Fin. & Com. L. 151 (2023).

Harrison Lipsky, Comment, America's Public Shell Trafficking Problem: Ripe for Reprocessing, 39 Emory Bankr. Dev. J. 409 (2023).

Nicole Lynch, Note, Entire Fairness or Bust: The Burst of the 2020-2021 SPAC Bubble, 17 Brook. J. Corp. Fin. & Com. L. 179 (2023).

Noah P. Mathews, Note, Forum Selection Provisions and the Preclusion of Derivative Claims under Section 14(a) of the Securities Exchange Act: Should Federal Courts Intervene?, 91 Fordham L. Rev. 2431 (2023).

Alexander I. Platt, The Whistleblower Industrial Complex, 40 Yale J. on Reg. 688 (2023).

Preston S. Scherr, Note, The Imperial Securities Fraud Regime, 48 J. Corp. L. 449 (2023).

Mia Stefanou, Note, Finfluencers in the Wild: A Call for Regulation Addressing the Growth of Online Investment Advice, 88 Brook. L. Rev. 959 (2023).

September 24, 2023 | Permalink | Comments (0)