Topic
Securities
6,664 published works
Securities Law Prof Blog
Empirical Scholarship on Reg FD
Answer S. Ahmed (Texas A&M) and Richard A. Schneible's (Texas Christian) paper on The Impact of Regulation Fair Disclosure on Investors' Prior Information Quality - Evidence from an Analysis of…
Securities Law Prof Blog
Frankel & Cunningham on Market Timing
Tamar Frankel and Lawrence Cunningham's paper, The Mysterious Ways of Mutual Funds: Market Timing, is now available on SSRN and is well worth reading for those of us who have…
Securities Law Prof Blog
Herbalife — The Revolving Door
Herbalife was public, then private, then public, and now announces a bid to go private again by the same equity fund that did the previous deals and remains the largest…
Securities Law Prof Blog
Highest NY Court to Consider Form U-5 Privilege Issue
An important and unresolved question is whether securities firms can be sued for libel if the information they are required to disclose on Form U-5 about an employee's employment termination…
Securities Law Prof Blog
SEC Approves Auction to Value Options
New York Times reports on the SEC's tentative approval of an auction approach to valuing stock options that was approved by the SEC staff in a letter to Zion Bancorp,…
Securities Law Prof Blog
Senate Report Criticizes SEC Investigation
Senators Specter and Grassley released an interim report critical of the SEC's investigation of hedge fund Pequot Capital Management. “At best, the picture shows extraordinarily lax enforcement by the S.E.C.,”…
Securities Law Prof Blog
Houston Attorney Settles SEC Charges of Registration Violations
On February 1, the Commission filed to amend its complaint in a lawsuit against Allixon International Corp., a Delaware corporation based in South Korea, to name Houston attorney Hank A.…
Securities Law Prof Blog
NASDAQ-LSE News
If NASDAQ's bid to acquire the London Stock Exchange fails, it will likely to continue to hold on to its 29% stake in LSE, says NASDAQ CEO Greifeld. NASDAQ will…
Securities Law Prof Blog
SEC Hedge Fund Investigation Still under Investigation
Senators Arlen Specter and Charles Grassley continue to express their displeasure over the SEC's investigation into hedge fund, Pequot Capital Management and say that an interim report reporting their findings…
Securities Law Prof Blog
Speech by NASD Vice Chair
In a speech before the Securities Traders Association, Doug Shulman, Vice Chair of NASD, addressed a number of issues, including the following: the merger of the NYSE and NASD regulatory…