Topic
Securities Regulation
Posts
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NoteVol. 100 · Iss. 2
The Stock Act Ten Years Later: The Need for a New Congressional Insider Trading Regulatory Scheme
Abstract A recent Pew Research poll indicated only 20% of Americans trust the federal government to “do the right thing.” Although falling trust in…
Andrew Krueger -
ArticleVol. 99 · Iss. 3
Insuring the ‘Uninsurable’: Catastrophe Bonds, Pandemics, and Risk Securitization
ABSTRACT In principle, governments could protect against the potential economic devastation of future pandemics by requiring businesses to insure against pandemic-related risks. In practice,…
Steven L. Schwarcz -
ArticleVol. 87 · Iss. 6
A Fixer-Upper for Finance
Three facts bear notice in connection with our current financial troubles. The first is that the First World War, before the Second began, was…
Robert Hockett -
CommentaryVol. 87 · Iss. 4
The Case for Employee Referenda on Transformative Transactions As Shareholder Proposals
This proposal would amend the bylaws to provide for a non-binding employee vote on any merger, acquisition, or other corporate combination on which the…
Matthew T. Bodie -
ArticleVol. 87 · Iss. 3
Financing the Next Silicon Valley
Silicon Valley’s success has led other regions to attempt their own high-tech transformations, yet most imitators have failed. Entrepreneurs may be in short supply…
Darian M. Ibrahim -
ArticleVol. 87 · Iss. 2
Regulating Complexity in Financial Markets
As the financial crisis has tragically illustrated, the complexities of modern financial markets and investment securities can trigger systemic market failures. Addressing these complexities,…
Steven L. Schwarcz -
ArticleVol. 88 · Iss. 6
Looking Through the Wrong End of the Telescope: The Japanese Judicial Response to Steel Partners, Murakami, and Horie
The Article discusses the “Bulldog Sauce” case of the Japanese Supreme Court which addresses corporate laws. It outlines the judicial efforts of the Japanese…
Stephen Givens -
ArticleVol. 87 · Iss. 1
Trust & Transparency: Promoting Efficient Corporate Disclosure Through Fiduciary-Based Discourse
Could embracing the philosophy of “encapsulated trust” as the basis for a fiduciary duty of disclosure improve the integrity and effectiveness of corporate communications?…
Michael R. Siebecker -
NoteVol. 88 · Iss. 1
New Twists on an Old Plot: Investors Look to Avoid the Wash Sale Rule by Harvesting Tax Losses with Exchange-Traded Funds
On October 7, 2007, all seemed well on Wall Street as the Dow Jones Industrial Average (DJIA) set a “record high,” closing at 14,164.…
Garrett M. Fischer -
NoteVol. 95 · Iss. 4
Decentralized Public Ledger Systems and Securities Law: New Applications of Blockchain Technology and the Revitalization of Sections 11 And 12(A)(2) of the Securities Act Of 1933
When Bitcoin launched in 2009, it was the first virtual cryptocurrency to gain popularity and attain widespread use. Much attention has been paid to…
Kelsey Bolin -
NoteVol. 93 · Iss. 6
Whistle With a Purpose: Extending Coverage Under SOX to Employees Discharging Their Duties
The relative ease with which corporate fraud went unnoticed during the Enron scandal created tension between Congress and the public. In hindsight, the public…
Jonathan Lee -
ArticleVol. 93 · Iss. 5
Uncertain Futures in Evolving Financial Markets
Today’s publicly offered investment funds, including mutual funds, have ever more diverse investment strategies, as they increasingly invest in financial instruments that, in earlier…
Anita K. Krug