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 W. Clayton, How Public Pension Plans Have Shaped Private Equity, 81 Md. L. Rev. 840 (2022).

Elizabeth A. Nelson, Note, Special Purpose Acquisition Companies and the PSLRA's Safe Harbor for Forward Looking Statements, 26 N.C. Bank. Inst. 229 (2022).

Tucker P. Sutlive, Note, Not Your Grandpa's Trading Cards: Understanding NFTs in Professional Sports and Why Some May Be Considered Securities, 26 N.C. Bank. Inst. 249 (2022).

New Securities Law Articles in Print

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

John Armour, Luca Enriques & Thom Wetzer, Mandatory Corporate Climate Disclosures: Now, but How?, 2021 Colum. Bus. L. Rev. 1085 (2021).

James D. Cox & Randall S. Thomas, The SEC's Shareholder Proposal Rule: Creating a Corporate Public Square, 2021 Colum. Bus. L. Rev. 1147 (2021).

Dan Daskal, Note, ISS and Other Proxy Advisory Firms' Conflicts of Interest: Analyzing the Insufficiency of New Securities and Exchange Commission Rules and Guidance, 2021 Colum. Bus. L. Rev. 1487 (2021).

Elisabeth de Fontenay & Gabriel Rauterberg, The New Public/Private Equilibrium and the Regulation of Public Companies, 2021 Colum. Bus. L. Rev. 1199 (2021).

Merritt B. Fox, Lawrence R. Glosten & Sue S. Guan, Spoofing and Its Regulation, 2021 Colum. Bus. L. Rev. 1244 (2021).

Kevin S. Haeberle, The Emergence of the Actively Managed ETF, 2021 Colum. Bus. L. Rev. 1321 (2021).

Heath P. Tarbert, Strengthening the Treasury Market, 2021 Colum. Bus. L. Rev. 1368 (2021).

Charles K. Whitehead, Risky Business: Portfolio Risk, Institutional Investing, and the Securities Act, 2021 Colum. Bus. L. Rev. 1396 (2021).

New Securities Law Articles in Print

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

Michael D. Guttentag, Avoiding Wasteful Competition: Why Trading on inside Information Should Be Illegal, 86 Brook. L. Rev. 895 (2021).

Celia Taylor & Amedeo Arena, The Influence of EU Competition Law beyond the EU: Insights from Japan, the UK, Brazil, and the USA, 50 Denv. J. Int'l L. & Pol'y 139 (2022).

New Securities Law Articles in Print

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

Connor A. Gibbons, Note, Equity Crowdfunding Economic Growth in African Countries: A Framework, 54 Case W. Rsrv. J. Int'l L. 447 (2022).

Carol R. Goforth, How Nifty! But Are NFTs Securities, Commodities, or Something Else?, 90 UMKC L. Rev. 775 (2022).

New Securities Law Articles in Print

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

Byung Hyun Ahn, Jill E. Fisch, Panos N. Patatoukas & Steven Davidoff Solomon,   Synthetic Governance, 2021 Colum. Bus. L. Rev. 476 (2021).

Robert P. Bartlett III, Modernizing Odd Lot Trading, 2021 Colum. Bus. L. Rev. 520 (2021).

Stewart L. Brown, Mutual Fund Advisory Fees: Forty Years of Failure, 16 Brook. J. Corp. Fin. & Com. L. 1 (2022).

William B. Chandler III, Joseph A. Grundfest, Virginia F. Milstead & Peter B.  Morrison, FAQs Re: FFPS Frequently Asked Questions about Federal Forum Provisions, 2021 Colum. Bus. L. Rev. 569 (2021).

John C. Coffee Jr., The Future of Disclosure: ESG, Common Ownership, and Systematic Risk, 2021 Colum. Bus. L. Rev. 602 (2021).

Kathryn A. Daly, Note, Freeing Cryptoassets from Howey: A Defense of Genuine Token Offerings, 16 Brook. J. Corp. Fin. & Com. L. 219 (2022).

Merritt B. Fox, Lawrence R. Glosten, Edward F. Greene, & Sue S. Guan, Distributed Ledger Technology and the Securities Markets of the Future: A Stakeholder Survey, 2021 Colum. Bus. L. Rev. 651 (2021).

Edward F. Greene, Evan S. Gabor, Sonia Katharani-Khan & Jacqueline Mijin Kang, The Need for a Comprehensive Approach to Capital Markets Regulation, 2021 Colum. Bus. L. Rev. 714 (2021).

Cameron K. Hood, Note, Finding the Boundaries of Equitable Disgorgement, 75 Vand. L. Rev. 1307 (2022).

Jara R. Y. Jacobson, Note, Targeted Regulation of Proxy Voting Advice: Balancing Monitoring with Information Flow in the Age of ESG, 16 Brook. J. Corp. Fin. & Com. L. 275 (2022).

Yona A. Kornsgold, Note, Beginner's Luck That Hertz: Bankrupt Companies and the Trap for Retail Investors, 2021 Colum. Bus. L. Rev. 914 (2021).

Jonathan R. Macey, Securities Regulation and Class Warfare, 2021 Colum. Bus. L. Rev. 796 (2021).

Paul G. Mahoney & Julia D. Mahoney, The New Separation of Ownership and Control: Institutional Investors and ESG, 2021 Colum. Bus. L. Rev. 840 (2021).

Jordan B. Neyland & Kathryn A. St John, Hidden Wealth Transfers in Bankruptcy Asset Sales: A Real Option Analysis, 19 Berkeley Bus. L.J. 46 (2022).

Manisha Padi, Markets and Mandates: Retirement in Chile and the United States, 102 B.U. L. Rev. 1215 (2022).

Maria Lucia Passador, In Vogue Again: The Re-Rise of SPACs in the IPO Market, 16 Brook. J. Corp. Fin. & Com. L. 105 (2022).

A. C. Pritchard & Robert B. Thompson, The Future of Securities Law in the Supreme Court, 2021 Colum. Bus. L. Rev. 881 (2021).

Sarah Pyun, Note, Updating the Duty to Update: Harmonizing a Continuous Duty with a Periodic Disclosure Regime, 2021 Colum. Bus. L. Rev. 1030 (2021).

Mary Jean Whitsell, Note, The Second Circuit's Extraterritorial Application of the Commodity Exchange Act, 2021 Colum. Bus. L. Rev. 983 (2021).

New Securities Law Articles in Print

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

Joseph O'Connor Gill, Note, The Perfect Union: An Expansion of the Accredited Investor Definition and Potential Impacts on the Emergent Tokenized Real Estate Market, 107 Iowa L. Rev. 2311 (2022).

Kristen Kelbon, Creating an Effective Vaccine to Prevent Congressional Insider Trading: Legislation Is Needed to Cure Deficiencies of the Stock Act, 55 Creighton L. Rev. 145 (2022).

Lauren Yu-Hsin Lin & Yu Xiang, The Rise of Non-Profit Organizations in Global Securities Class Actions: A New Hybrid Model in China, 60 Colum. J. Transnat'l L. 493 (2022).

Paul Rose, Catalyzing Sustainable Investment, 51 Env't L. 1221 (2021).

New Securities Law Articles in Print

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

John P. Anderson, Regulatory Ritualism and Other Lessons from the Global Experience of Insider Trading Law, 24 U. Pa. J. Bus. L. 25 (2021).

Felix Mormann & Milica Mormann, The Case for Corporate Climate Ratings: Nudging Financial Markets, 53 Ariz. St. L.J. 1209 (2021).

Tyler Ross, Note, Expanding Employee Ownership in America: A Proposal for a National Equity Compensation Mandate, 55 Colum. J.L. & Soc. Probs. 191 (2022).

David H. Webber, Rethinking "Political" Considerations in Investment, 46 Del. J. Corp. L. 3 (2021).

Emily Winston, Unequal Investment: A Regulatory Case Study, 107 Cornell L. Rev. 781 (2022).

Christoph Zaugg, Note, Judicial Developments Sharpening the Focus of the MFW Standard: Independence of the Special Committee and Direct Negotiations by the Controller with Stockholders, 46 Del. J. Corp. L. 27 (2021).

New Securities Law Articles in Print

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

J.R. O'Sullivan, The Government's Power to Bring Transnational Securities Fraudsters to Account: Dodd-Frank Rendered Morrison Irrelevant, 59 Am. Crim. L. Rev. 231 (2022).

Giovanni Patti & Peter Robau, SEC Regional Offices, 18 N.Y.U. J.L. & Bus. 471 (2022).

New Securities Law Articles in Print

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

Gregory Dewire, Comment, Securities Law—Act of State Doctrine: Safe Harbor for Securities Violations—Royal Wulff Ventures LLC v. Primero Mining Corp., 938 F.3d 1085 (9th Cir. 2019), 44 Suffolk Transnat'l L. Rev. 181 (2021).

Carol R. Goforth, SEC v. Telegram: A Global Message, 52 U. Mem. L. Rev. 199 (2021).

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 Kidd & George A. Mocsary, Social Media, Securities Markets, and the Phenomenon of Expressive Trading, 25 Lewis & Clark L. Rev. 1223 (2022).

Steven A. Bank &  Brian R. Cheffins, Corporate Law's Critical Junctures, 77 Bus. Law. 1 (2022).

Brian H. Benjet & Jamie Kurtz, The Evolution of DOJ and SEC Expectations for Corporate Compliance Programs and Staying ahead of the Curve, 66 Vill. L. Rev. 939 (2021).

Edwin Adlam Herod, Comment, Cognitive Dissonance Undercuts Deterrence in the C-Suite: Why Otherwise Ethical FDA-Dependent Managers Keep Falling down the Rabbit Hole of 10(b) Class Action Litigation, 52 Seton Hall L. Rev. 607 (2021).

Michael P. Jamroz, What Lawyers Need to Know about Broker-Dealer Audit Requirements, 77 Bus. Law. 91 (2022).

Michael Klausner, Michael Ohlrogge & Emily Ruan, A Sober Look at SPACs, 39 Yale J. on Regul. 228 (2022).

Jenna Koleson, Note, The Duty to Correct Another's Material Misrepresentations: A Contextual Approach for Analyzing Fraudulent Behavior under Rule 10B-5, 66 St. Louis U. L.J. 167 (2021).

Merritt B. Fox & Menesh S. Patel, Common Ownership: Do Managers Really Compete Less?, 39 Yale J. on Regul. 136 (2022).

Reid B. Stevens & Jeffery Y. Zhang, The Costs of Banks Engaging in Non-Banking Activities: A Case Study, 39 Yale J. on Regul. 375 (2022).

Sarah J. Williams, The Alchemy of Effective Auditor Regulation, 25 Lewis & Clark L. Rev. 1089 (2022).

New Securities Law Articles in Print

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

Christopher Chen &  Lauren Yu-Hsin Lin, Foreign Political Interference in the Governance of Listed Companies: A Market and Behavioral Analysis, 31 Duke J. Comp. & Int'l L. 301 (2021).

Jens Dammann, Fee-Shifting Bylaws: An Empirical Analysis, 65 J.L. & Econ. 1 (2022).

Jay Geiss, Note, The IPO Alternative: Special Purpose Acquisition Companies Are Gaining Traction in Private Equity, 47 J. Corp. L. 235 (2021).

Christine Hurt & Paul Stancil, Short Sellers, Short Squeezes, and Securities Fraud, 47 J. Corp. L. 105 (2021).

Emily Manzer, Comment, The D.C. Circuit Has Struck Again: Judicial Deference & the SEC's Experimental Rule Making Authority, 58 Cal. W. L. Rev. 169 (2021).

Tanya Pierce, To Remove or Not to Remove—Is That the Question in 1933 Act Securities Cases?, 73 Baylor L. Rev. 596 (2021).

Michael P. Vandenbergh, Disclosure of Private Climate Transition Risks,  63 Wm. & Mary L. Rev. 1695 (2022).

Matthew Wansley, Taming Unicorns, 97 Ind. L.J. 1203 (2022).

New Securities Law Article in Print

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

Chris Mao, Note, Stealing from the Poor: Regulating Robinhood's Exchange-Traded Options for Retail Investors, 107 Cornell L. Rev. 323 (2021).

New Securities Law Articles in Print

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

Brian L. Frye, SEC No-Action Letter Request, 54 Creighton L. Rev. 537 (2021).

Jack J. Longley, Note, The Crypto-Currency Act of 2020: Evaluating First Steps toward Clarifying the Digital-Asset Regulatory Landscape, 54 Suffolk U. L. Rev. 549 (2021).

Peter A. Sotos, Note, Curb Your Activism: Contracting to Curb Debt Activism in a Post-Windstream World, 107 Iowa L. Rev. 1317 (2022).

Walter Stuber & Mohamed Hashish, International Finance & Securities, 55 Int'l Law. 427 (2021).

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).

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).

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).

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).

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).

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).

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).