Topic
Disclosure
830 published works
Securities Law Prof Blog
SEC Charges Investment Adviser with Failing to Disclose Revenue-Sharing Payments
The SEC instituted a settled administrative proceeding against two Portland, Oregon-based investment advisory firms and their owner Christopher Keil Hicks for failing to disclose a revenue-sharing agreement and other potential conflicts…
Securities Law Prof Blog
SEC Adopts Conflict Minerals & Resource Extraction Issuer Rules
The SEC approved today two disclosure rules that are required by Dodd-Frank: (1) the conflict minerals rule and (2) the resource extraction issuer rule.(1) The conflict minerals rule requires companies to publicly…
Securities Law Prof Blog
Kaal on Hedge Fund Manager Registration
Hedge Fund Manager Registration under the Dodd-Frank Act: An Empirical Study, by Wulf A. Kaal, University of St. Thomas, Minnesota - School of Law, was recently posted on SSRN. Here…
Securities Law Prof Blog
SEC Recommends Legislation to Improve Muni Securities Market
The SEC issued a report with recommendations to help improve the structure of the $3.7 trillion municipal securities market and enhance the disclosures provided to investors.( Download SEC.munireport073112[1] ) The recommendations address…
M & A Law Prof Blog
“Translations” of company disclosures
By CorporateAcquisitions MergerLawBlogger
A summer guest post from Claire Hill (Minnesota Law) with a question for readers. Let the wisdom of the crowd rule...I recall seeing "translations" of company statements and disclosures by…
Corporate and Securities Law
SEC to Meet on JOBS Act and Conflict Minerals on August 22, 2012
Nonprofit Law Prof Blog
Briffault, Brody, and Mayer on Disclosure
Richard Briffault (Columbia), Evelyn Brody (Chicago-Kent), and I have posted or published new papers relating to disclosure by nonprofits. Here are the abstracts or a portion of the introduction.Briffault's Updating…
Securities Law Prof Blog
Hu on the SEC’s Disclosure Paradigm
Too Complex to Depict? Innovation, 'Pure Information,' and the SEC Disclosure Paradigm, by Henry T.C. Hu, University of Texas at Austin - School of Law, was recently posted on SSRN. …
Sentencing Law and Policy
“Plea-bargaining cases: Form over substance”
Main May 20, 2012"Plea-bargaining cases: Form over substance"The title of this post is the headline given to this notable commentary in the National Law Journal by Harlan Protass concerning what…
Constitutional Law Prof Blog
D.C. Circuit Denies Emergency Stay in Van Hollen Suit Against FEC
By ConLawProf initials at end of post
The D.C. Circuit yesterday denied motions for an emergency stay pending appeal of the district court's ruling in Van Hollen v. FEC. That case involved Representative Chris Van Hollen's (D-Md)…