Securities Law Prof Blog

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

Tuesday, June 28, 2022

New Securities Law Articles in Print

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

S. Burcu Avci, Cindy A. Schipani, H. Nejat Seyhun & Andrew Verstein, Insider Giving, 71 Duke L.J. 619 (2021).

James A. Fanto, Looking Forward: Professor Roberta Karmel's Prescient Views on the Transformation of Self-Regulatory Organizations and of the Securities Market Structure at the Turn of the Last Century, 16 Brook. J. Corp. Fin. & Com. L. 123 (2021).

Jill E. Fisch, Mutual Fund Stewardship and the Empty Voting Problem, 16 Brook. J. Corp. Fin. & Com. L. 71 (2021).

Joan MacLeod Heminway, Federalized Corporate Governance: The Dream of William O. Douglas as Sarbanes-Oxley Turns 20, 16 Brook. J. Corp. Fin. & Com. L. 97 (2021).

Howell E. Jackson, "The EU Challenge to The SEC": A View from 2021, 16 Brook. J. Corp. Fin. & Com. L. 33 (2021).

Jordan Lieberman, Note, Lorenzo v. SEC and the Expansion of Scheme Liability: Why Courts Should Implement a "Modified Creator Standard", 2021 Colum. Bus. L. Rev. 352 (2021).

Christal McCamy, Note, Retail Investors: Why Online Investing Platforms Need More Regulation and Oversight, 16 Brook. J. Corp. Fin. & Com. L. 255 (2021).

Alan R. Palmiter, Full of Questions and Wonder: Roberta Karmel's Legacy, 16 Brook. J. Corp. Fin. & Com. L. 147 (2021).

James J. Park, Karmel's Dissent: The SEC's Use and Occasional Misuse of Section 21(a) Reports of Investigation, 16 Brook. J. Corp. Fin. & Com. L. 9 (2021).

June 28, 2022 | Permalink | Comments (0)

Monday, June 20, 2022

New Securities Law Articles in Print

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

Nicholas Bartlett, Note, Honing in on Hardware: Data Security Concerns of Large Companies, 52 U. Tol. L. Rev. 545 (2021).

Kyle Bersani, Note, Separating Governance Tokens from Securities: How the Utility Token May Fall Short of the Investment Contract, 43 Cardozo L. Rev. 1305 (2022).

Jason R. Chohonis, Comment, Patching the Holes in Sox: FCPA Disgorgement after Liu and the NDAA, 71 Emory L.J. 841 (2022).

Brian D. Feinstein, Identity-Conscious Administrative Law: Lessons from Financial Regulators, 90 Geo. Wash. L. Rev. 1 (2022).

Jamie Kim, Note, Regulation of Decentralized Systems: A Study of Uniswap,  35 Harv. J. L. & Tech. 335 (2021).

Thomas M.J. Mollers, The Wirecard Accounting Scandal in Germany, and How the Financial Industry Failed to Spot It, 54 Int'l Law. 325 (2021).

Paolo Saguato, Financial Regulation, Corporate Governance, and the Hidden Costs of Clearinghouses, 82 Ohio St. L.J. 1071 (2021).

June 20, 2022 | Permalink | Comments (0)

Wednesday, June 8, 2022

New Securities Law Articles in Print

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

Andrew K. Jennings, State Securities Enforcement, 47 BYU L. Rev. 67 (2021).

Geeyoung Min & Kwon-Yong Jin, Relational Enforcement of Stock Exchange Rules, 47 BYU L. Rev. 149 (2021).

June 8, 2022 | Permalink | Comments (0)

Tuesday, May 31, 2022

New Securities Law Articles in Print

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

Alessio Azzutti, Wolf-Georg Ringe & H. Siegfried Stiehl, Machine Learning, Market Manipulation, and Collusion on Capital Markets: Why the "Black Box" Matters, 43 U. Pa. J. Int'l L. 79 (2021).

Aibak Hafeez, The Effects of the Global Financial Crisis on Employment Arbitration: Evidence from the Securities Industry Discrimination Complaints, 2022 J. Disp. Resol. 43 (2022).

Paul Schochet, Note, Arbitrating Security Class Actions: The Limits of Forum Selection Bylaws, 94 St. John's L. Rev. 845 (2020).

David H. Solomon & Eugene Soltes, Is "Not Guilty" the Same as "Innocent"? Evidence from SEC Financial Fraud Investigations, 18 J. Empirical Legal Stud. 287 (2021).

Chao Xi & Yurong Huang, Are U.S.-Listed Chinese Firms a Minefield? A Board Perspective, 54 Int'l Law. 201 (2021).

May 31, 2022 | Permalink | Comments (0)

Sunday, May 29, 2022

New Securities Law Articles in Print

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

Gregory Day, John T. Holden & Brian M. Mills, Fraud on Any Market, 97 Ind. L.J. 659 (2022).

Maria E. Vaz Ferreira, Note, Staying True to NSMIA: A Roadmap for Successful State Fiduciary Rules after Reg BI, 94 St. John's L. Rev. 557 (2020).

George S. Georgiev, The Breakdown of the Public–Private Divide in Securities Law: Causes, Consequences, and Reforms, 18 N.Y.U. J.L. & Bus. 221 (2021).

Virginia Harper Ho, Modernizing ESG Disclosure, 2022 U. Ill. L. Rev. 277 (2022).

Peter Molk & Frank Partnoy, The Long-Term Effects of Short Selling and Negative Activism, 2022 U. Ill. L. Rev. 1 (2022).

May 29, 2022 | Permalink | Comments (0)

Monday, May 9, 2022

New Securities Law Articles in Print

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

Madison Condon, Market Myopia's Climate Bubble, 2022 Utah L. Rev. 63 (2022).

Stanislav Dolgopolov, Off-Exchange Market Makers and Their Best Execution Obligations: An Evolving Mixture of Market Reform, Regulatory Enforcement, and Litigation, 17 N.Y.U. J.L. & Bus. 477 (2021).

Mangesh Patwardhan, To Legislate or Not to Legislate: Judging the Judge-Made Insider Trading Prohibition Theories in the United States, 45 Del. J. Corp. L. 323 (2021).

Andrew N. Vollmer, Explaining Dirks, 58 Am. Crim. L. Rev. 523 (2021).

May 9, 2022 | Permalink | Comments (0)

Wednesday, April 27, 2022

New Securities Law Articles in Print

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

Jacob Antrim, Note, Securities Fraud and Reliance: Indiana's Securities Fraud Standard, 54 Ind. L. Rev. 421 (2021).

Jon Jacobson, Note, The Unsettled Issue from Leidos, Inc. v. Indiana Public Retirement System: Should Item 303 Provide a Private Right of Action?, 54 Ind. L. Rev. 445 (2021).

Geoffrey J. Ritts, Marjorie P. Duffy & Sam Lioi, Federal Forum Provisions for Ohio Corporations, 49 Cap. U. L. Rev. 255 (2021).

Steven L. Schwarcz, Insuring the 'Uninsurable': Catastrophe Bonds, Pandemics, and Risk Securitization, 99 Wash. U. L. Rev. 853 (2021).

Aubrey Searcy, Comment, Federal Regulation of the Municipal Securities Market: Testing the Efficacy of the Political Process as a Tenth Amendment Limitation on Congress, 49 Cap. U. L. Rev. 323 (2021).

Frederick Sprunger, Note, Resolving the Split: Manipulation in the Age of Musk and the Loss Causation Model, 54 Ind. L. Rev. 501 (2021).

April 27, 2022 | Permalink | Comments (0)

Wednesday, April 20, 2022

New Securities Law Articles in Print

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

Nicole G. Iannarone, Structural Barriers to Inclusion in Arbitrator Pools, 96 Wash. L. Rev. 1389 (2021).

Artem M. Joukov & Samantha M. Caspar, The Alarming Legality of Security Manipulation through Shareholder Proposals, 44 Seattle U. L. Rev. 707 (2021).

Jonathan S. Masur & Jonathan Remy Nash, Promoting Regulatory Prediction, 97 Ind. L.J. 203 (2022).

Heath P. Tarbert, Self-Regulation in the Derivatives Markets: Stability through Collaboration, 41 Nw. J. Int'l L. & Bus. 175 (2021).

April 20, 2022 | Permalink | Comments (0)

Monday, April 11, 2022

New Securities Law Articles in Print

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

Grier E. Barnes, Note, Racial Exclusion in Private Markets: How the New Accredited Investor Standard Is Arbitrary and Capricious, 96 N.Y.U. L. Rev. 1966 (2021).

Quinn Curtis, Jill Fisch & Adriana Z. Robertson, Do ESG Mutual Funds Deliver on Their Promises?, 120 Mich. L. Rev. 393 (2021).

April 11, 2022 | Permalink | Comments (0)

Friday, April 1, 2022

New Securities Law Articles in Print

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

Eric C. Chaffee, Index Funds and ESG Hypocrisy, 71 Case W. Res. L. Rev. 1295 (2021).

Dain C. Donelson, Antonis Kartapanis & Christopher G. Yust, Does Media Coverage Cause Meritorious Shareholder Litigation? Evidence from the Stock Option Backdating Scandal, 64 J.L. & Econ. 567 (2021).

Megan Ganley, Note, Murky Materiality & Scattered Standards: In Favor of a More Uniform System of SST Disclosure Requirements, 90 Fordham L. Rev. 1281 (2021).

Heather Hughes, Designing Effective Regulation for Blockchain-Based Markets, 46 J. Corp. L. 899 (2021).

Wulf A. Kaal, Digital Asset Market Evolution, 46 J. Corp. L. 909 (2021).

Ann M. Lipton, A Most Ingenious Paradox: Competition vs. Coordination in Mutual Fund Policy, 71 Case W. Res. L. Rev. 1275 (2021).

Bernard S. Sharfman, The Conflict Between BlackRock's Shareholder Activism and ERISA's Fiduciary Duties, 71 Case W. Res. L. Rev. 1241 (2021).

April 1, 2022 | Permalink | Comments (0)

Sunday, March 27, 2022

New Securities Law Articles in Print

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

John P. Anderson, Jeremy L. Kidd & George A. Mocsary, Public Perceptions of Insider Trading, 51 Seton Hall L. Rev. 1035 (2021).

Ryan Brady & John Reid, Casenote, Protecting the Throne: The Third Circuit's Decision to Preserve Sovereign Immunity in Gentile v. SEC, 66 Vill. L. Rev. 783 (2021).

Max Chaffetz, Note, Disentangling Conflict and Minerals: How NGOs and Lawmakers Ought to Rebrand Their Flawed Narrative of Eastern Congo, 62 Va. J. Int'l L. 203 (2021).

Andrew J. Meyer, Note, Insider Trading under Sarbanes-Oxley: Bypassing the Personal Benefit Test, 86 Mo. L. Rev. 951 (2021).

March 27, 2022 | Permalink | Comments (0)

Monday, March 14, 2022

New Securities Law Articles in Print

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

Sylvia Lu, Algorithmic Opacity, Private Accountability, and Corporate Social Disclosure in the Age of Artificial Intelligence, 23 Vand. J. Ent. & Tech. L. 99 (2020).

Alon Sugarman, Note, Grown from the Shadows: How Technology and Taxes Can Bring Private Companies into the Public Light, 23 Vand. J. Ent. & Tech. L. 189 (2020).

March 14, 2022 | Permalink | Comments (0)

Sunday, March 13, 2022

Call for Papers: Corporate & Securities Litigation Workshop

Corporate & Securities Litigation Workshop: Call for Papers

The University of Illinois College of Law, in partnership with UCLA School of Law, University of Richmond School of Law, and Vanderbilt Law School, invites submissions for the Ninth Annual Workshop for Corporate & Securities Litigation. This workshop will be held on Friday, September 23 and Saturday, September 24, 2022 in Chicago, Illinois.

Overview

This annual workshop brings together scholars focused on corporate and securities litigation to present their scholarly works. Papers addressing any aspect of corporate and securities litigation or enforcement are eligible, including securities class actions, fiduciary duty litigation, and SEC enforcement actions. We welcome scholars working in a variety of methodologies, as well as both completed papers and works-in-progress.

Authors whose papers are selected will be invited to present their work at a workshop hosted by the University of Illinois College of Law. Participants will pay for their own travel, lodging, and other expenses.

Submissions

If you are interested in participating, please send the paper you would like to present or an abstract of the paper to corpandsecworkshop@gmail.com by Friday, May 13, 2022. Please include your name, current position, and contact information in the e-mail accompanying the submission. Authors of accepted papers will be notified in June.

Questions

Any questions concerning the workshop should be directed to the organizers: Verity Winship (vwinship@illinois.edu), Jessica Erickson (jerickso@richmond.edu), Jim Park (James.park@law.ucla.edu), and Amanda Rose (amanda.rose@vanderbilt.edu).

March 13, 2022 | Permalink | Comments (0)

New Securities Law Articles in Print

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

Samantha L. Bailey & Christopher J. Ryan Jr., The next "Big Short": COVID-19, Student Loan Discharge in Bankruptcy, and the SLABS Market, 73 SMU L. Rev. 809 (2020).

Bernard S. Sharfman, The Risks and Rewards of Shareholder Voting, 73 SMU L. Rev. 849 (2020).

March 13, 2022 | Permalink | Comments (0)

Wednesday, March 2, 2022

New Securities Law Articles in Print

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

Barnali Choudhury, Climate Change as Systemic Risk, 18 Berkeley Bus. L.J. 52 (2021).

Justin Hicks, Comment, Commanding Transparency: The Emerging Frontier of SEC-Mandated Climate Risk Disclosures, 58 Hous. L. Rev. 211 (2020).

Xuan-Thao Nguyen, Lending Innovations, 86 Brook. L. Rev. 135 (2020).

James D. Redwood, Back from the Brink: The Supreme Court Saves the SEC's Rule 10b-5 from the Grim Reaper, 89 UMKC L. Rev. 57 (2020).

March 2, 2022 | Permalink | Comments (0)

Monday, February 21, 2022

New Securities Law Articles in Print

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

Audrey E. Abate, Note, Qualified Opportunity Funds: Private Equity Exemptions from Public Responsibility, 15 Brook. J. Corp. Fin. & Com. L. 421 (2021).

James T. Kitchen, David R. Coogan & Keeton H. Christian, The Evolution of Legal Risks Pertaining to Patch Management and Vulnerability Management, 59 Duq. L. Rev. 269 (2021).

Austin Manna, Note, Reducing Conflicts of Interest: A "Glass-Steagall" Split of Advisory and Consulting Services of Proxy Advisory Firms, 15 Brook. J. Corp. Fin. & Com. L. 497 (2021).

Douglas Sarro, Proxy Advisors as Issue Spotters, 15 Brook. J. Corp. Fin. & Com. L. 371 (2021).

February 21, 2022 | Permalink | Comments (0)

Monday, February 14, 2022

New Securities Law Article in Print

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

George S. Georgiev, The Human Capital Management Movement in U.S. Corporate Law, 95 Tul. L. Rev. 639 (2021).

February 14, 2022 | Permalink | Comments (0)

Wednesday, February 9, 2022

New Securities Law Articles in Print

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

Robin Hui Huang, The U.S.–China Audit Oversight Dispute: Causes, Solutions, and Implications for Hong Kong, 54 Int'l Law. 151 (2021).

Steven L. Schwarcz, Tepoel Lecture: Bond Trustees and the Rising Challenge of Activist Investors, 53 Creighton L. Rev. 669 (2020).

February 9, 2022 | Permalink | Comments (0)

Monday, January 31, 2022

New Securities Law Articles in Print

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

Charlotte S. Alexander & Nicole G. Iannarone, Winning, Defined? Text-Mining Arbitration Decisions, 42 Cardozo L. Rev. 1695 (2021).

Dustin G. Graber, Note, An Appointment with Time: Defining the Scope of a Timely Challenge after Lucia v. SEC, 53 Colum. J.L. & Soc. Probs. 541 (2020).

Masaki Iwasaki, Relative Impacts of Monetary and Non-Monetary Factors on Whistleblowing Intention: The Case of Securities Fraud, 22 U. Pa. J. Bus. L. 591 (2020).

Florian N. Kamp, Alternative Data Accumulation, Investment Management and the Ever-Present Spectre of Insider Trading Liability—Should Hedge Funds Be Concerned about Trading on Scraped Data?, 22 U. Pa. J. Bus. L. 627 (2020).

Kobi Kastiel & Yaron Nili, The Giant Shadow of Corporate Gadflies, 94 S. Cal. L. Rev. 569 (2021).

Sunitha Malepati, The Future (Public Company Boardroom) Is Female: From California SB 826 to a Gender Diversity Listing Standard, 28 Am. U. J. Gender Soc. Pol'y & L. 493 (2020).

Nicolas Valderrama, Comment, Can the Liquidity Rule Keep Mutual Funds Afloat? Contextualizing the Collapse of Third Avenue Management Focused Credit Fund, 70 Cath. U. L. Rev. 317 (2021).

January 31, 2022 | Permalink | Comments (0)

Saturday, January 22, 2022

New Securities Law Articles in Print

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

Jordan A. Pino, Note, Insider Trading and the Primacy of the Legislature: Beyond Two Martomas, 18 Geo. J.L. & Pub. Pol'y 553 (2020).

Andrew W. Winden, Jumpstarting Sustainability Disclosures, 76 Bus. Law. 1215 (2021).

January 22, 2022 | Permalink | Comments (0)