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1-80 out of 80 article(s)
Title Author Type Date Words
Overview of the SEC Climate Risk Disclosure Proposed Rule. Shorter, Gary; Miller, Rena S. May 1, 2022 1655
Introduction to Financial Services: The Securities and Exchange Commission (SEC). Shorter, Gary Jan 1, 2022 1583
SEC's September 2020 Rule Toughens Resubmission of Shareholder Proposals. Shorter, Gary Aug 1, 2021 1527
Digital Assets and SEC Regulation. Su, Eva Jun 1, 2021 11320
Introduction to Financial Services: Capital Markets. Su, Eva Jan 1, 2021 1581
Introduction to Financial Services: The Securities and Exchange Commission (SEC). Shorter, Gary Jan 1, 2021 1717
Federal Securities Laws: An Overview. Linebaugh, Chris D.; Sykes, Jay B.; Vanatko, Nicole Feb 1, 2020 1669
AGAINST REGULATORY STIMULUS. Gerding, Erik F. Jan 1, 2020 7382
Regulation Best Interest (Reg BI): The SEC's Rule for Broker-Dealers. Shorter, Gary Jan 1, 2020 13898
Digital Assets and SEC Regulation. Su, Eva Report Jan 1, 2020 8651
Climate-Related Risk Disclosure Under U.S. Securities Laws. Su, Eva; Vanatko, Nicole Sep 1, 2019 1539
Beneficial Ownership Transparency in Corporate Formation, Shell Companies, Real Estate, and Financial Transactions. Miller, Rene S.; Rosen, Liana W. Jul 1, 2019 12653
Schemes and False Statements: Supreme Court to Consider Scope of Anti-Fraud Liability Under Securities Laws. Sykes, Jay B. Nov 1, 2018 2287
Financial Innovation: Digital Assets and Initial Coin Offerings. Su, Eva Oct 1, 2018 1641
Exchange-Traded Funds (ETFs): Issues for Congress. Su, Eva Report Sep 1, 2018 10540
Economic Growth, Regulatory Relief, and Consumer Protection Act (P.L. 115-174) and Selected Policy Issues. Perkins, David W.; Getter, Darryl E.; Labonte, Marc; Shorter, Gary; Su, Eva; Weiss, N. Eric Report Jun 1, 2018 25462
Legislation to Lift the Investment Company Act Exemption for Funds Based in U.S. Territories. Shorter, Gary May 1, 2018 868
Merger and Acquisition Brokers: Overview and Proposals for Relief. Shorter, Gary May 1, 2018 1647
Regulatory Reform 10 Years After the Financial Crisis: Dodd-Frank and Securities Law. Vanatko, Nicole Report Apr 1, 2018 14293
Capital Access: SEC Regulation A+ ("Mini-IPO"). Su, Eva Mar 1, 2018 1644
Securities Exchanges: Regulation and Reform Proposals (Section 501 of S. 2155, Section 496 of H.R. 10, and H.R. 4546). Shorter, Gary Mar 1, 2018 1598
Venture Capital Funds: Proposals to Expand Investor Thresholds Required for Registration (Section 504 of S. 2155, Section 471 of H.R. 10, H.R. 1219, S. 444, and Section 914 of H.R. 3280). Shorter, Gary Mar 1, 2018 929
Supreme Court Interprets Dodd-Frank Whistleblower Protections: Implications for Securities Law and Beyond. Vanatko, Nicole Mar 1, 2018 892
Private Securities Offerings: Background and Legislation. Su, Eva Oct 1, 2017 1454
UPDATE: When Silence Isn't Golden: Omissions Liability under Securities Laws. Sykes, Jay B. Oct 1, 2017 1314
The Supreme Court as museum curator: securities regulation and the Roberts Court. Chaffee, Eric C. Mar 22, 2017 22379
Bitcoin: Questions, Answers, and Analysis of Legal Issues. Murphy, Edward V.; Murphy, M. Maureen Report Dec 1, 2015 17705
Do the securities laws matter? The rise of the leveraged loan market. de Fontenay, Elisabeth Jun 22, 2014 23925
Reference re Securities Act: what are the remaining options for a national securities regime? Pham, Dee Dec 22, 2013 3766
The SEC can no longer regulate from behind. Sporkin, Stanley Nov 1, 2013 1921
Understanding "trade as a whole" in the Securities Reference. Lavoie, Malcolm Jan 1, 2013 6687
The currently mandated myopia of Rule 10b-5: pay no attention to that manager behind the mutual fund curtain. Kibble, Kelly S. Jan 1, 2013 5946
The currently mandated myopia of Rule 10b-5: pay no attention to that manager behind the mutual fund curtain. Kibble, Kelly S. Jan 1, 2013 27448
Regulatory cooperation that overlaps borders. Kranc, Joel Jul 1, 2012 1489
Economics and financial regulation will the SEC's new embrace of cost-benefit analysis be a watershed moment? Manne, Henry G. Jun 22, 2012 4345
Separate financial reporting standards and standard setting for private companies. Elifoglu, I. Hilmi; Fitzsimons, Adrian P.; Silliman, Benjamin R. Report Jun 22, 2012 4289
The U.S. shareholder say-on-pay vote: what are the first year results? Hemphill, Thomas A. Jun 22, 2012 4858
Will JOBS act enable more securities fraud? The recently passed JOBS Act eliminates regulatory requirements in initial public offerings and loosens other reporting obligations of public companies. These changes will weaken a number of investor protections and could provide opportunities for greater securities fraud. Verschoor, Curtis C. Jun 1, 2012 1583
Possible Dodd-Frank U-turns by SEC? Barlas, Stephen Jun 1, 2012 381
Harnessing data more effectively: as businesses drown in piles of data, reporting methods are evolving to analyze and present information more effectively, and even suggest what steps to take next. Gamble, Richard Jun 1, 2012 2276
The new JOBS Act eases access to capital. Samuels, Richard A. May 4, 2012 739
Raising equity through crowdfunding. Remus, Paul C.; Mendoza, Kristin A. May 4, 2012 766
JOBS Act aims to help raise capital. Scott Ladd Brief article May 1, 2012 173
The crowdfunding provisions of the JOBS Act. Lynn, David M. Legislation May 1, 2012 771
A new era of accountability? What accountants and financial professionals need to know about changes in proxy statement disclosures. Morris, Jan Taylor; Grippo, Frank; Barsky, Noah May 1, 2012 2274
State securities chief: Corporation Act overhaul a 'race to the bottom'. Keefe, Jennifer Apr 20, 2012 575
RBNZ consults on covered bonds legal framework. Brief article Mar 1, 2012 276
D&O liability: claims issues in 2011. Chester, Michael B.; Steel, James R., III Dec 1, 2011 1972
SEC final rule on use of S-3. Barlas, Stephen Oct 1, 2011 479
New whistleblower rules broaden opportunities: the SEC has issued final rules to better encourage whistleblowers to report violations of securities laws. The rules also provide incentives for whistleblowers to first try using their organization's internal compliance system before involving the Commission. Verschoor, Curtis C. Sep 1, 2011 1395
Business groups roundly criticize proposed rule on ABS risk retention. Barlas, Stephen Sep 1, 2011 320
Saving bucks on buybacks: The SEC's proposal to bring stock repurchases rules in line with evolving market conditions could give companies access to the latest tools to execute large trades anonymously. Hintze, John Feb 1, 2011 1233
SEC commissioner opposes additional internal controls sox exemptions. Barlas, Stephen Nov 1, 2010 340
SEC issues proposed rules on reps and warranties in ABS offerings. Murray, Michael Brief article Nov 1, 2010 279
Federal securities class-action filings decline. Ladd, Scott Brief article Oct 1, 2010 226
SEC bounty hunters: Dodd-Frank and the SEC's zeal make it easier and more lucrative for whistleblowers to tip the feds off to securities violations. Lindorff, Dave Sep 1, 2010 1067
M&A risks rise without pre-closing due diligence: boards and audit committees should insist that merger agreements provide for pre-closing FCPA due diligence and that it be undertaken thoroughly and cooperatively. Wendt, Daniel; Tillen, James; Moyer, Homer Sep 1, 2010 1813
Principles-based securities regulation in the wake of the global financial crisis. Ford, Cristie Jul 1, 2010 23520
New SEC convergence statement extends potential deadline. Barlas, Stephen Apr 1, 2010 421
Living up to the Pecora Commission's legacy. Barry, Joanne S. Column Mar 1, 2010 802
SEC battles AcentsA[euro]Aoenaked short selling,AcentsA[euro]A makes promptness rule permanent. Brief article Jul 27, 2009 179
Securities transfer is not a securities lending arrangement. Beavers, James May 1, 2009 1120
The SEC's posture on Rule 151A is full of contradictions. Kennedy, Danette L. Dec 1, 2008 794
Battle lines drawn over the SEC's proposed Rule 151A: separation of powers is working. O'Brien, Kim Sep 22, 2008 710
Battle lines drawn over the SEC's proposed Rule 151A: the SEC has not gone far enough. Baldwin, Ben, Jr. Sep 22, 2008 1072
151A: why is no one asking hard questions? Casey, Brian T.; Lugo, Lynn Sep 22, 2008 1018
Newly amended securities trading regulations for foreign investors. Brief article Jan 1, 2008 142
Private securities exchanges. Shadab, Houman B. Dec 22, 2007 942
Is it time to wind up the Securities Act of 1933? strict liability makes no sense in today's capital markets. Spindler, James Dec 22, 2006 6528
SEC enforcement heuristics: an empirical inquiry. Cox, James D.; Thomas, Randall S.; Kiku, Dana Nov 1, 2003 18622
Business is better, but ... Moses, Lucia Brief Article Jun 24, 2002 589
Premises for reforming the regulation of securities offerings: an essay. Cox, James D. Jun 22, 2000 18066
Arbitration and reform in private securities litigation: dealing with the meritorious as well as the frivolous. Ramirez, Steven A. Apr 1, 1999 38860
Evaluating and interpreting the effectiveness of end-user interest rate derivative disclosures. Duchac, Jonathan E. Dec 22, 1998 8037
Entering the realm of investment services. Bernstein, Phyllis J. Oct 1, 1998 3453
Investor and dealer responsibilities in securities transactions: when is redress for loss warranted? McNair, Mark; Monteilh, Larry Apr 1, 1996 4654
Statement by David W. Mullins, Jr., Vice Chairman, Board of Governors of the Federal Reserve System, before the Subcommittee on Domestic Monetary Policy of the Committee on Banking, Finance and Urban Affairs, U.S. House of Representatives, April 28, 1992. Transcript Jun 1, 1992 2415

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