Topic
Securities
6,664 published works
Securities Law Prof Blog
Professor’s Amnesia Defense to Investment Fund Fraud
An economics professor Albert E. Parish Jr. (Charleston Southern U.) and manager of several mutual funds claimed amnesia after a SEC investigation found that $134 million of funds were missing. …
The Contingency
SLUSA Didn’t Authorize Removal
In 1998, Congress enacted the Securities Litigation Uniform Standards Act to keep state courts from handling state law claims in securities lawsuits that the Private Securities Litigation Reform Act of…
Securities Law Prof Blog
Barnes and Noble Says it Thought Backdating Options was Proper
Barnes and Noble joins the list of companies admitting to backdating stock options. It says senior management thought the practices, which extended from 1996-2006, were proper and acted on the…
Securities Law Prof Blog
Rule 10b5-1 Plans and Nacchio Trial
Rule 10b5-1 plans may replace backdating stock options as the next big scandal. The insider trading trial of Joseph Nacchio, former Qwest CEO, may focus on allegations that he had…
Securities Law Prof Blog
Perspectives on the Past Week’s News
At least for securities regulation professors, the news this week was in the courtroom. The U.S. Supreme Court heard oral arguments in two important cases: Credit Suisse (does the 33…
Securities Law Prof Blog
Bethel on Disclosure Regulation
New on SSRN: Recent Changes in Disclosure Regulation: Description and Evidence, by JENNIFER E. BETHEL, Babson College. Here is the abstract: Abstract: Technology has dramatically reduced the cost of…
Securities Law Prof Blog
Davidoff on Securities Regulation Treasure Hunt
STEVEN M. DAVIDOFF, Wayne State University School of Law , has posted Securities Regulation Treasure Hunt on SSRN that should prove helpful to all teachers of securities regulation. Here is…
Securities Law Prof Blog
D.C. Circuit Throws Out SEC Rule on Fee-Based Accounts
Financial Planning Association v. SEC, 2007 WL 935733 (Mar. 30, 2007):The D.C. Circuit (by a 2-1 decision) threw out the SEC's rule that exempted broker-dealers offering fee-based accounts to their…
Securities Law Prof Blog
Tellabs Oral Argument
Tellabs, Inc. v. Makor Issues & Rights was argued today before the U.S. Supreme Court. Here's the link to the transcript.
Securities Law Prof Blog
Testimony at Black and Nacchio Trials
At the criminal trial of Lord Conrad Black, former head of Hollinger International, a lawyer for a buyer of some newspapers from Hollinger Int'l testified that he saw co-defendant Mark…