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Corporate & Securities Law

Business Law Prof Blog

Business law resources, information, and news for the academic community

Post Frequency: 11.8/day

Last Entry: April 01, 2011 at 11:04:42

"We Have Met the Enemy and He is Us"

Posted on February 01, 2011
As Stefan pointed out on this blog last week, the Financial Crisis Inquiry Commission has issued its report on the financial crisis. The Commission concludes that ?a combination of excessive borrowing, risky investments, and lack of transparency put the financial...

USDA and CFTC Begin Carbon Market Design Discussion

Posted on January 31, 2011
Today and tomorrow the CFTC and the USDA will host a workshop to discuss issues and opportunities related to creation of a carbon market. According to the press release: The workshop will bring together policymakers, industry participants, nongovernmental organizations and...

Captain Obvious: What Not to Do As A Securities Lawyer

Posted on January 31, 2011
The SEC has filed an administrative action against an attorney alleging that he falsified documents during an SEC examination. (The full order is available here.) Here is a summary of the allegations (and keep in mind that, at this point,...

Vermont Legislature Considers Constitutional Amendment Eliminating Corporate Personhood

Posted on January 30, 2011
As reported by truthdig (HT: Keith Bishop): In Vermont, state Sen. Virginia Lyons on Friday presented an anti-corporate personhood resolution for passage in the Vermont Legislature. The resolution, the first of its kind, proposes ?an amendment to the United States...

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Chapman Symposium After Action Review

Posted on January 29, 2011
I just got back from the Chapman Law Review Symposium: From Wall Street to Main Street: The Future of Financial Regulation (videos of all the talks are in the process of being put up on the law school's home page)....

Financial Crisis Inquiry Commission Issues Report

Posted on January 28, 2011
Relevant links can be found on the FCIC's website. Here is the conclusion: [T]his crisis was avoidable?the result of human actions, inactions, and misjudgments. Warnings were ignored. ?The greatest tragedy would be to accept the refrain that no one could...

SEC Changes to Accredited Investor Miss the Point

Posted on January 28, 2011
As required by Dodd-Frank, the SEC today voted to proposed rules that would bring the definition of "accredited investor" into compliance with the Dodd-Frank Wall Street Reform and Consumer Protection Act. As explained in the proposed rule (pdf here) Dodd-Frank...

Best Business Movies?

Posted on January 28, 2011
The recent announcement of the Academy Award nominations has me thinking about movies?in particular, movies about business or business law. Several lists of the best business movies are available online. Business Pundit has one here. Forbes has one here...

Davidoff, Morrison, and Wilhelm on Investment Banking

Posted on January 26, 2011
Steven M. Davidoff, Alan D. Morrison, and William J. Wilhelm Jr. have posted Computerization and the Abacus: Reputation, Trust, and Fiduciary Duties in Investment Banking on SSRN with the following abstract: On April 16, 2010 the Securities and Exchange Commission...

700+ Million Reasons to Comply with the Clean Air Act

Posted on January 26, 2011
The U.S. Environmental Protection Agency today announced a settlement with Hovensa LLC to resolve public health concerns and Clean Air Act violations at Hovensa's St. Croix, U.S. Virgin Islands, petroleum refinery. The settlement provides for a $5.375 million civil fine...

David Skeel on the Dodd-Frank Act

Posted on January 25, 2011
I just finished reading David Skeel?s new book on the Dodd-Frank Act, The New Financial Deal: Understanding the Dodd-Frank Act and Its (Unintended) Consequences. Skeel?s book is a very good introduction to the major provisions of the Dodd-Frank Act, including...

It is with heavy pen...

Posted on January 25, 2011
...that I write my last Post tonight. I wish to thank my co-editors Josh, Stefan and Eric for a great, insightful year. My various teaching and writing responsibilities simply don't afford the time necessary for me to continue as an...

FCPA Cases Still Going Strong

Posted on January 24, 2011
The SEC today released another complaint alleging violations of the Foreign Corrupt Practices Act (FCPA), this time alleging that a former CEO of Innospec participated in a bribery scheme seeking to get and maintain business by paying Iraqi government officials...

The SEC Broker/Investment Adviser Fiduciary Duty Study

Posted on January 24, 2011
Over the weekend, the SEC released its Study on Investment Advisers and Broker-Dealers. This is one of many studies required by the Dodd-Frank Act, in this case by section 913 of the Act. The Staff recommends that the SEC adopt...

An Introduction

Posted on January 24, 2011
I want to thank Professors Chaffee, Colesanti, Fershee, and Padfield for giving me the opportunity to guest blog here on the Business Law Prof Blog. I follow the blog regularly and enjoy reading their posts. In my time here, I...

Midwest Corporate Law Scholars Conference -- June 15 at OSU

Posted on January 24, 2011
The Midwest Corporate Law Scholars Conference (MCLSC) meeting will be Wednesday, June 15th, at The Ohio State University Michael E. Moritz College of Law in Columbus, Ohio. This is the second annual meeting of the MCLSC, and we are opening...

Welcome Guest Blogger Steve Bradford

Posted on January 23, 2011
We are pleased to welcome Prof. C. Steven Bradford, Earl Dunlap Distinguished Professor of Law at the University of Nebraska College of Law, to the BLPB for a month of guest blogging. I'll leave the more detailed introductory bio to...

Win Some, Lose Some

Posted on January 22, 2011
"Win": My short piece arguing that the majority in Citizens United embraced a presumption in favor of the nexus-of-contracts theory of the firm has been posted by the Harvard Business Law Review Online. "Lose": My documented prediction that SCOTUS would...

Do Catholics Love Renewable Energy?

Posted on January 21, 2011
I'm not sure, but I can give you a definite maybe with some data to support it. In my recently published article (available here) in the William & Mary's Environmental Law & Policy Review, When Prayer Trumps Politics: The Politics...

Common Cause Requests Justice Department to Investigate Whether Justices Thomas and Scalia Should Have Recused Themselves in Citizens United

Posted on January 20, 2011
The New York Times story is here. Common Cause's statement is here. SJP

Internal Conflicts: Using Saleschildren to Close the Deal

Posted on January 19, 2011
As the proud parent of a five-year-old (excuse me, five and a HALF), my wife and I are experiencing kindergarten as parents for the very first time. Overall, it's been a great experience. Our son has an engaged and energetic...

The President's Bold Old Policy

Posted on January 18, 2011
In an instant, our President added to his legacy today, albeit in unexpected fashion. Specifically, a Wall Street Journal op-ed called for a broad review of counterproductive government regulations "placing unreasonable burdens on business" and making the U...

Dr. King's Lessons on Law and Justice

Posted on January 17, 2011
In recognition of Dr. Martin Luther King, Jr., Day, I wanted to share some of Dr. King's views on laws, along with a few thoughts of my own. Dr. King often provided a unique and thoughtful analysis of the world...

Martin Luther King "I have a dream" Speech

Posted on January 17, 2011

Bill Black's Testimony Before the Financial Crisis Inquiry Commission

Posted on January 16, 2011
Bill Black has posted his testimony before the Financial Crisis Inquiry Commission on SSRN. Here is the abstract: "Control frauds" are seemingly legitimate entities controlled by persons that use them as a fraud "weapon." (The person that controls the firm...

Chapman University School of Law To Host Symposium on Dodd-Frank

Posted on January 15, 2011
On January 27 & 28, the Chapman Law Review will be hosting a symposium entitled: "From Wall Street to Main Street: The Future of Financial Regulation." You can find the schedule here, and I think you'll agree it looks like...

Expect a Close Eye on Attorneys' Fees in Delaware Derivative Suits

Posted on January 14, 2011
According the National Law Journal (here), plaintiffs' attorneys plan to ask for $6.5 million in fees related to a derivative suit filed in connection with a proposed merger of Alberto Culver and Unilever. The Notice of Pendency and Proposed Settlement...

Following Up on Matrixx v. Siracusano

Posted on January 13, 2011
A while back, I was honored to sign on to the "Brief for Professors at Law and Business Schools as Amicus Curiae In Support of Respondents, Matrixx v. Siracusano," arguing that "The Use of Statistical Significance as a Bright-line Test...

Harner and Marincic on Business Reorganizations

Posted on January 13, 2011
Michelle M. Harner and Jamie Marincic have posted Behind Closed Doors: The Influence of Creditors in Business Reorganizations on SSRN with the following abstract: General corporate law delegates the power to manage a corporation to the board of directors...

Zheng on Antitrust Law

Posted on January 13, 2011
Wentong Zheng has posted Transplanting Antitrust in China: Economic Transition, Market Structure, and State Control on SSRN with the following abstract: This Article examines the compatibility of Western antitrust models as incorporated in China?s first comprehensive antitrust law ? the...

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