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Securities Law Prof Blog

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Post Frequency: 38.1/day

Last Entry: March 31, 2011 at 16:18:26

FINRA Proposes Broadening Arbitrators Power to Make Disciplinary Referrals

Posted on September 20, 2010
FINRA filed with the SEC a proposed rule change to amend the Codes of Arbitration Procedure to permit arbitrators to make disciplinary referrals during the course of an arbitration proceeding. Rel. No. 34-62930 ; File No. SR-FINRA-2010-036

FINRA and UK Regulator Enter Cooperation Agreement

Posted on September 20, 2010
The U.K. Financial Services Authority (FSA) and FINRA have entered into a Memorandum of Understanding (MOU) to support more robust cooperation between the two regulators. The MOU establishes a framework for enhancing the ability of the FSA and FINRA to...

FINRA Reminds Municipal Securities Dealers of Sales Practices in Secondary Market

Posted on September 20, 2010
FINRA, in coordination with the Municipal Securities Rulemaking Board (MSRB), today issued a Regulatory Notice reminding municipal securities dealers of their sales practice, due diligence and fair pricing obligations when selling municipal securities in the secondary market...

L&H Founders Guilty of Fraud in Belgium

Posted on September 20, 2010
Jo Lernout and Pol Hauspie, the founders of Lernout & Hauspie Speech Products NV, were found guilty of fraud in a Belgian court, for their role in the accounting scandal that led to the collapse of the speech recognition company....

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Still Thinking About Gender Gap Issues

Posted on September 20, 2010
According to data from the federal Bureau of Labor Statistics, 2.6% of female workers in the finance industry left the industry in the past 10 years, while male workers increased by 9.6%. In the same period the number of women...

Wagner on the SEC and Madoff

Posted on September 19, 2010
Too Close for Comfort: The Problem with Stationary SEC Officers, by Robert E. Wagner, Case Western Reserve University School of Law, was recently posted on SSRN. Here is the abstract: The SEC was created in response to the market crash...

Davidoff on Federal Corporate Ownership in the Financial Crisis

Posted on September 19, 2010
Uncomfortable Embrace: Federal Corporate Ownership in the Midst of the Financial Crisis, by Steven M. Davidoff, University of Connecticut School of Law, was recently posted on SSRN. Here is the abstract: This essay traces the varying terms of all of....

Bratton on Hedge Funds

Posted on September 19, 2010
Hedge Funds and Governance Targets: Long-Term Results, by William W. Bratton, University of Pennsyvlania Law School; European Corporate Governance Institute (ECGI), was recently posted on SSRN. Here is the abstract: This article takes a second look at a database of...

Armour et alia on Regulatory Sanctions and Reputational Damages

Posted on September 19, 2010
Regulatory Sanctions and Reputational Damage in Financial Markets, by John Armour, University of Oxford - Faculty of Law; Oxford-Man Institute of Quantitative Finance; European Corporate Governance Institute (ECGI); Colin Mayer, University of Oxford - Said Business School; Centre for Economic...

Hazen on Stock Broker Standards

Posted on September 19, 2010
Are Existing Stock Broker Standards Sufficient? Principles, Rules and Fiduciary Duties, by Thomas Lee Hazen, University of North Carolina (UNC) at Chapel Hill - School of Law, was recently posted on SSRN. Here is the abstract: In recent years there...

Jordan on International Standards and the FSF

Posted on September 19, 2010
The Dangerous Illusion of International Standards and the Legacy of the Financial Stability Forum, by Cally Jordan, University of Melbourne - Law School; Duke University School of Law; European Corporate Governance Institute (ECGI), was recently posted on SSRN...

Armour et alia on Delaware Courts

Posted on September 19, 2010
Delaware?s Balancing Act, by John Armour, University of Oxford - Faculty of Law; Oxford-Man Institute of Quantitative Finance; European Corporate Governance Institute (ECGI); Bernard S. Black, Northwestern University - School of Law; Northwestern University - Kellogg School of Management; University...

SEC Proposes New Disclosure Rules on Short-Term Borrowing

Posted on September 17, 2010
The SEC today voted unanimously to propose measures that would require public companies to disclose additional information to investors about their short-term borrowing arrangements. The SEC's proposal would shed a greater light on a company's short-term borrowing practices, including what...

SEC Adopts Internal Control Amendment for Non-Accelerated Filers

Posted on September 16, 2010
The SEC adopted amendments to its rules and forms to conform them to Section 404(c) of the Sarbanes-Oxley Act of 2002 (the ?Sarbanes-Oxley Act?), as added by Section 989G of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the...

SEC Considers Short-Term Borrowings Disclosure at Sept. 17 Meeting

Posted on September 16, 2010
SEC Open Meeting Agenda for September 17, 2010 Item 1: SHORT-TERM BORROWINGS DISCLOSURE Office: DIVISION OF CORPORATION FINANCE Staff: Meredith Cross, Paula Dubberly, Felicia Kung, Christina Padden The Commission will consider whether to propose rules that would require a public...

Thinking About Gender Gap Issues

Posted on September 16, 2010
The suit by three former female employees charging Goldman Sachs with gender bias caused me to think of other issues related to gender gap: SEC Commissioner Luis A. Aguilar recently spoke on Diversity in the Boardroom is Important and, Unfortunately,...

Goldman Sachs Sued Over Gender Discrimination

Posted on September 15, 2010
Three former female employees filed a discrimination suit in federal district court in S.D.N.Y. against Goldman Sachs, alleging that the investment firm has a system in place that systemically denies women opportunities for advancement and pays them less for comparable...

Survey Finds that Investors are Confused about Fiduciary Duty Standard

Posted on September 15, 2010
A coalition of consumer and investment adviser groups, including Consumer Federation of America, AARP, and NASAA, released a survey of 1319 investors conducted by ORC/Infogroup that shows that most U.S. investors are confused about which financial professionals are required to...

Hedge Fund Manager Liable for Misrepresentations in PIPES Offerings

Posted on September 15, 2010
A federal court on September 13, 2010 found hedge fund manager Robert A. Berlacher, along with several of his investment advisory entities and various hedge funds he managed, liable for securities fraud in connection with the funds' PIPE investments. In...

SEC Turns Attention to Muni Issuers

Posted on September 15, 2010
SEC Commissioner Elisse Walter stated in an interview with the Wall St. Journal that the agency may seek authority from Congress to regulate municipal issuers and the quality of their disclosures to the investing public. Currently the SEC only has...

SEC Settles Unauthorized Trading & Fraud Charges Against Unregistered Broker-Dealer

Posted on September 14, 2010
The SEC announced that on August 26, 2010, the U.S. District Court for the Southern District of New York entered final judgments approving settlements between the Commission and the defendants in the pending case against FTC Capital Markets, Inc. ("FTC"),...

Former IBM Exec Sentenced to 6 Months on Insider Trading Charges

Posted on September 13, 2010
Former IBM executive Robert Moffat Jr. was sentenced to six months in prison and ordered to pay a $50,000 fine for insider trading charges involving Galleon Group founder Raj Rajaratnam. Last spring he pleaded guilty to giving inside information on...

Vote for the Securities Law Prof Blog!

Posted on September 13, 2010
LexisNexis informs me that the Securities Law Prof Blog has been nominated for its Top 25 Business Law Blogs of 2010. If you'd like to support the nomination, you can do so at either of the following links: Top 25...

FINRA Fines Trillium Brokerage & Traders for Illegal High Frequency Trading

Posted on September 13, 2010
FINRA announced that it has censured and fined New York-based Trillium Brokerage Services, LLC, $1 million for using an illicit high frequency trading strategy and related supervisory failures. Trillium, through nine proprietary traders, entered numerous layered, non-bona fide market moving...

Scott on Dodd-Frank's Procedures for Liquidating Non-Bank Financial Companies

Posted on September 12, 2010
Dodd-Frank: Resolution or Expropriation?, by Kenneth E. Scott, Stanford Law School, was recently posted on SSRN. Here is the abstract: The 2010 financial reform law provides a summary procedure whereby the government can take over and liquidate a non-bank financial...

Bebchuk et al. on Lucky CEOs and Lucky Directors

Posted on September 12, 2010
Lucky CEOs and Lucky Directors, by Lucian A. Bebchuk, Harvard University - Harvard Law School; National Bureau of Economic Research (NBER); European Corporate Governance Institute (ECGI); Yaniv Grinstein, Cornell University - Samuel Curtis Johnson Graduate School of Management; and Urs...

Bainbridge on Dodd-Frank

Posted on September 12, 2010
Dodd-Frank: Quack Federal Corporate Governance Round II, by Stephen M. Bainbridge, University of California, Los Angeles (UCLA) - School of Law, was recently posted on SSRN. Here is the abstract: In 2005, Roberta Romano famously described the Sarbanes-Oxley Act as...

Coffee on Contingent Capital

Posted on September 12, 2010
Bail-Ins Versus Bail-Outs: Using Contingent Capital to Mitigate Systemic Risk, by John C. Coffee Jr., Columbia Law School; European Corporate Governance Institute (ECGI); American Academy of Arts & Sciences, was recently posted on SSRN. Here is the abstract: Because the...

Hail et al. on Global Accounting Convergence

Posted on September 12, 2010
Global Accounting Convergence and the Potential Adoption of IFRS by the U.S. (Part I): Conceptual Underpinnings and Economic Analysis, by Luzi Hail, University of Pennsylvania - The Wharton School; Christian Leuz, University of Chicago - Booth School of Business; National...

Bratton & Wachter on Berle's Theory of the Corporation

Posted on September 12, 2010
Tracking Berle?s Footsteps: The Trail of The Modern Corporation?s Last Chapter, by William W. Bratton, University of Pennsyvlania Law Shool; European Corporate Governance Institute (ECGI), and Michael L. Wachter, University of Pennsylvania Law School, was recently posted on SSRN...

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