All Articles tagged securities

• General
  April 09, 2024 EDT
  THE SECURITIES AND EXCHANGE COMMISSION AND CRYPTOASSETS: A STUDY IN IRONY
  Carol Goforth

  This Article considers how the SEC inconsistently applies the definition of a security in the context of investment contracts to cryptoassets and advocates for legislative intervention to alleviate confusion.

• General
  April 15, 2018 EDT
  FROM THE CLOSET TO THE BOARDROOM: REGULATING LGBT DIVERSITY ON CORPORATE BOARDS
  Alexander M. Nourafshan

  This article proposes reforms to strengthen the SEC’s diversity disclosure rule by defining diversity and mandating disclosure of specific demographic traits: race, gender, sexual orientation, and gender identity.

• General
  May 13, 2014 EDT
  “GROUNDBREAKIN” OR BROKEN? AN ANALYSIS OF SEC CYBERSECURITY DISCLOSURE GUIDANCE, ITS EFFECTIVENESS, AND IMPLICATIONS
  Matthew F. Ferraro

  Using case studies, this article concludes that the SEC cybersecurity disclosure guidance both procedurally overreaches and substantively underachieves.

• General
  January 01, 2012 EDT
  DECONSTRUCTING PENSION COMMITTEE: THE EVOLVING RULES OF EVIDENCE SPOLIATION AND SANCTIONS IN THE ELECTRONIC DISCOVERY ERA
  Michael W. Deyo

  This article reviews Judge Scheindlin‘s seminal e-discovery opinion in Pension Committee, and analyzes the subsequent treatment of a few notable aspects of her ruling.

• General
  March 03, 2010 EDT
  BANKS AND BROKERS AND BRICKS AND CLICKS: AN EVALUATION OF FINRA’S PROPOSAL TO MODIFY THE “BANK BROKER-DEALER RULE”
  Jill I. GrossEdward Pekarek

  This article evaluates the Financial Industry Regulatory Authority’s proposal to adopt a modified version of National Association of Securities Dealers Rule 2350, known as the “bank broker-dealer rule.”

• General
  March 03, 2010 EDT
  REVIEW OF THE POLICY DEBATE OVER SHORT SALE REGULATION DURING THE MARKET CRISIS
  David P. McCaffrey

  This article summarizes the recent history of short sale regulation, and academic research on the subject.

• General
  March 03, 2010 EDT
  AIDING AND ABETTING, A MADOFF FAMILY AFFAIR: WHY SECONDARY ACTORS SHOULD BE HELD ACCOUNTABLE FOR SECURITIES FRAUD THROUGH THE RESTORATION OF THE PRIVATE RIGHT OF ACTION FOR AIDING AND ABETTING LIABILITY UNDER THE FEDERAL SECURITIES LAWS
  Melissa C. Nunziato

  This comment argues that secondary actors should be held accountable for securities fraud through the private right of action for aiding and abetting liability under the federal securities laws.

• General
  January 01, 2009 EDT
  WHITE COLLAR CRIME’S GRAY AREA: THE ANOMALY OF CRIMINALIZING CONDUCT NOT CIVILLY ACTIONABLE
  Wendy Gerwick Couture

  This article proposes a two-step solution to further the rationales of the civil-criminal divide while preserving the delicate balance of the current scheme of securities regulation.