Securities Law Prof Blog
Covers corporate law news, issues and regulatory developments relating to securities law.
Author: Barbara Black, a law professor and director of the Corporate Law Center at the University of Cincinnati College of Law, edits Securities Law Prof Blog, which is part of the Law Professor Blogs Network.
Blawg Related Categories: Corporate Law • Government Law • Law Professors • Securities Law • University of Cincinnati • Law Professor
Recent Posts from Securities Law Prof Blog
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Mitchell on Morals of the Marketplace
The Morals of the Marketplace, by LAWRENCE E. MITCHELL, George Washington University - Law School, was recently posted on SSRN. Here is the abstract: This brief essay explores the economic and social legitimacy of modern…
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Heminway on SOX and Ethics
Does Sarbanes-Oxley Foster the Existence of Ethical Executive Role Models in the Corporation?, by JOAN MACLEOD HEMINWAY, University of Tennessee College of Law, was recently posted on SSRN. Here is the abstract: If compliance with,…
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Bartlett on Going Private
Going Private But Staying Public: Reexamining the Effect of Sarbanes-Oxley on Firms' Going-Private Decisions, by ROBERT P. BARTLETT III, University of Georgia Law School, was recently posted on SSRN. Here is the abstract: This article…
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Karmel on SROs as Government Agencies
Should Securities Industry Self-Regulatory Organizations be Considered Government Agencies?, by ROBERTA S. KARMEL, Brooklyn Law School, was recently posted on SSRN. Here is the abstract: Securities industry self-regulatory organizations (SROs) began as private sector membership…
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Krawiec on Risk Management
Operational Risk Management: An Emergent Industry, by KIMBERLY D. KRAWIEC, University of North Carolina at Chapel Hill - School of Law, was recently posted on SSRN. Here is the abstract: Financial institutions have always been…
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SEC Director of Trading & Markets Speaks on Liquidity
Erik R. Sirri, Director, Division of Trading and Markets, SEC, spoke at the SIFMA Market Structure Conference 2008, on May 9, 2008, on Maximizing Liquidity in the U.S. Equity Markets. He focused on the key…
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SEC Obtains Emergency Relief Against Ponzi Scheme
The SEC obtained emergency relief in response to its complaint, filed May 5, 2008, that Gregory N. McKnight (McKnight) and Legisi Holdings, LLC (Legisi Holdings) conducted a fraudulent, unregistered offering of securities in which, between…
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SEC Approves Amendment to Narrow Definition of Public Arbitrator
In recent years FINRA has narrowed the definition of "public arbitrator" to reduce the connections of the non-industry arbitrator to the securities industry. Effective June 9, 2008, FINRA will add an annual revenue limitation to…
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SEC Plans to Rein in Wall St.
SEC Chair Cox's response to the Bear Stearns collapse -- and perhaps to the Treasury Dept's Blueprint that calls for a diminishment of the SEC's role -- is to call for greater agency oversight over…
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UBS Returns Money to Massachusetts Cities That Purchases ARSs
UBS concluded an investigation by the Massachusetts Attorney General and agreed to return $35 million to Massachusetts municipalities that bought auction rate securities for short-term cash needs and were unable to sell them later when…