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:

William S. Dodge, Extraterritorial Application of Federal Securities Law: What Hath Morrison Wrought?, 56 N.Y.U. J. Int'l L. & Pol. 199 (2023).

J.D. Larsen, Student Article, Securities and Exchange Commission v. Ripple Labs, Inc. - 20 Civ. 10832 (AT) (S.D.N.Y. July 13, 2023), 28 Intell. Prop. & Tech. L. J. 57 (2023).

Emily Strauss & Joseph A. Grundfest, Mutiny for a Bounty, 66 Ariz. L. Rev. 191 (2024).

Bryce C. Tingle, What Do We Know about Shareholders' Potential to Solve Environmental and Social Problems?, 58 Ga. L. Rev. 169 (2023).

New Securities Law Articles in Print

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

Andrew N. Vollmer, Liu and the New SEC Disgorgement Statute, 15 Wm. & Mary Bus. L. Rev. 307 (2024).

Moin A. Yahya & Nicole  Pecharsky, Crypto-Litigation: An Empirical Overview for 2020–Present, 25 SMU Sci. & Tech. L. Rev. 195 (2022).

New Securities Law Articles in Print

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

Connor Kidd, Student Article, Can Shareholders Really Trust Proxy Statements?: A Negligence Standard for Section 14(a) of the Securities Exchange Act of 1934, 75 Baylor L. Rev. 544 (2023).

Creighton R. Meland Jr., Shareholder Proposals and Social Policy, 48 S. Ill. U. L.J. 215 (2024).

David Rosenfeld, Elon Musk and the Virtues of Restraint, 53 Stetson L. Rev. 307 (2024).

Sarah M. Verzal, Comment, Research a la Carte: Why the United States Should Permit Unbundled Commissions Following MiFID II, 41 Wis. Int'l L.J. 73 (2024).

New Securities Law Articles in Print

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

Billy Abbott, The Anything Asset: The Tax Classification of Cryptocurrency, NFTs, DAOs and Other Digital Assets, 26 Chap. L. Rev. 459 (2023).

Steven J. Cleveland, Diversity Disclosures: Unconstitutionally Compelled Speech by the SEC, 90 Tenn. L. Rev. 747 (2023).

George S. Geis, The Historical Context of Stock Settlement and Blockchain, 26 Chap. L. Rev. 557 (2023).

Carol R. Goforth, Political Reality and Crypto Regulation, 26 Chap. L. Rev. 599 (2023).

Emma R. Howard, Note, Environmental (Non)Disclosure and the SEC's Proposed Solution, 36 Geo. J. Legal Ethics 661 (2023).

Tamra Manfredo, Comment, How to Make $1 Million in 30 Seconds or Less: The Need for Regulations on Finfluencers, 84 La. L. Rev. 791 (2024).

New Securities Law Articles in Print

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

B. Salman Banaei, Response to Blockchain Transaction Ordering as Market Manipulation, 20 Ohio St. Tech. L. J. 89 (2023).

Mikolaj Barczentewicz, Alex Sarch & Natasha Vasan, Blockchain Transaction Ordering as Market Manipulation, 20 Ohio St. Tech. L. J. 1 (2023).

Christopher A. Brown, Note, Why Whistleblowing Walter May Be Helping the SEC Violate the Fourth Amendment, 49 J. Corp. L. 167 (2023).

Patrick M. Corrigan, Shining a Light on Shadow Banks, 49 J. Corp. L. 1 (2023).

Anna D'Eramo, Comment, Where You Lead, I Will Follow: Professional Athletes' Ability to Influence Loyal Fans' Cryptocurrency Investments and the Broader Need for Cryptocurrency Regulation, 31 Jeffrey S. Moorad Sports L. J. 143 (2024).

Aneil Kovvali & Yair Listokin, Valuing ESG, 49 BYU L. Rev. 705 (2024).

Susan Navarro Smelcer, Anne Tucker & Yusen Xia, Aggregated Risks in Mutual Fund Disclosures, 49 J. Corp. L. 49 (2023).

New Securities Law Articles in Print

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

Adam B. Badawi, Matthew D. Cain & Steven Davidoff Solomon, Does Voluntary Financial Disclosure Matter? The Case of Fairness Opinions in Mergers and Acquisitions, 66 J.L. & Econ. 535 (2023).

Eric C. Chaffee, Regulation by Survey, 65 B.C. L. Rev. 601 (2024).

Sheila Krische, Note, Auditing the Auditors: Overregulation under the Sarbanes–Oxley Act, 52 Hofstra L. Rev. 211 (2023).

Lisa Lopez, Comment, The Road to the Rules: The SEC Mandates Cybersecurity Disclosures, 96 Temp. L. Rev. 65 (2023).

Corey B. Shapiro, Note, Green Funds in a Gray Area: The ESG Fund Labeling Problem and How the SEC Can Fix It, 48 Colum. J. Env't L. 415 (2023).

New Securities Law Articles in Print

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

Anat Alon-Beck & John Livingstone, Mythical Unicorns and How To Find Them: The Disclosure Revolution, 2023 Colum. Bus. L. Rev. 69 (2023).

Adam O. Emmerich, Robin Panovka & Jodi J. Schwartz, REITs Come of Age, 79 Bus. Law. 107 (2024).

Allan Horwich, The Myriad Ways SEC Rule 10b5-1 Is Invalid, 79 Bus. Law. 23 (2024).

Helen Norton, What Twenty-First-Century Free Speech Law Means for Securities Regulation, 99 Notre Dame L. Rev. 97 (2023).

Eric Rolston, Note, Regulating Democratized Finance: Cryptocurrency, Retail Broker–Dealers and the SEC's Regulatory Perimeter, 2023 Colum. Bus. L. Rev. 487 (2023).

Mary Ryan, Comment, How Small is Small Enough? Examining the Limits of the Intelligible Principle Test, 98 Tul. L. Rev. 141 (2023).

Maddie White, Note, An Empirical Analysis of SEC Rule 6c-11's Impact on the Usage of Heartbeat Trades by Exchange-Traded Funds, 2023 Colum. Bus. L. Rev. 533 (2023).

New Securities Law Articles in Print

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

Caleb N. Griffin, Extrinsic Value, 75 Ala. L. Rev. 423 (2023).

W.C. Bunting, A Better Legal Definition of Gambling: With Applications to Synthetic Financial Instruments and Cryptocurrency, 86 Alb. L. Rev. 257 (2023).

Sarah C. Haan, Delegated Corporate Voting and the Deliberative Franchise, 47 Seattle U. L. Rev. 483 (2024).

Anna Kapellan, Speak No Evil: A Linguistically Honest Cure for the Mythological Psychology of Appellate Adjudication of Overpayments by the Department of Veterans Affairs,
93 Miss. L.J. 1 (2023).

Anita K. Krug, Beneficial Conflicts of Interest, 45 Cardozo L. Rev. 175 (2023).

Steven L. Schwarcz & Robert Bourret, Fractionalizing Investment Securities: Using FinTech to Expand Financial Inclusion, 84 Ohio St. L.J. 773 (2024).

New Securities Law Articles in Print

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

Avaskhan Z. Asanaliyev, A Common Law Judiciary in the Post-Soviet Space: The AIFC Court as a Forum for International Commercial Adjudication, 38 Ohio St. J. on Disp. Resol. 597 (2023).

Michael M. Choi & Michael Barsa, Can We Talk Climate? The SEC Disclosure Rule and Compelled Commercial Speech, 53 Env't L. Rep. 10934 (2023).

Alexander Coley, ESG Ratings: A Blind Spot for U.S. Securities Regulation, 43 Nw. J. Int'l L. & Bus. 1 (2022).

Carol R. Goforth, Just Because They Say It: Does the U.S. Really Have the "First-Ever Comprehensive Framework" for Digital Assets?, 76 Ark. L. Rev. 255 (2023).

Kristin N. Johnson, Keynote Address by CFTC Commissioner Kristin Johnson, 76 Ark. L. Rev. 251 (2023).

Shuping Li, Beyond Consumer Protection: Standardized Stablecoins Disclosure as Information Infrastructure, 48 Brook. J. Int'l L. 616 (2023).

Hester M. Peirce, Q&A: A Conversation with SEC Commissioner Hester Peirce, 76 Ark. L. Rev. 339 (2023).

Corporate & Securities Litigation Workshop: Call for Papers

UCLA School of Law, in partnership with the University of Illinois College of Law, University of Richmond School of Law, and Vanderbilt Law School invites submissions for the Eleventh Annual Workshop for Corporate & Securities Litigation. This workshop will be held on September 20-21, 2024 in Los Angeles, California.

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 at any stage. Authors whose papers are selected will be invited to present their work at a workshop hosted by UCLA School 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 [email protected] by Friday, June 7, 2024 Please include your name, current position, and contact information in the e-mail accompanying the submission. Authors of accepted papers will be notified in early July.

Questions

Any questions concerning the workshop should be directed to the organizers: Jim Park ([email protected]), Jessica Erickson ([email protected]), Amanda Rose ([email protected]), and Verity Winship ([email protected]).

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).

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).

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).

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).

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).

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).

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).

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).

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).

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).