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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

Tuch on Gatekeepers

Posted on April 04, 2010
Andrew Tuch has posted Multiple Gatekeepers on SSRN with the following abstract: In the context of business transactions, gatekeepers are lawyers, investment bankers, accountants and other actors with the capacity to monitor and control the disclosure decisions of their clients...

Simmons on In-House Counsel

Posted on April 04, 2010
Omari Scott Simmons has posted The Under-Examination of In-House Counsel on SSRN with the following abstract: Although the emergence of in-house counsel is one of the most significant shifts in the legal profession over the past half century, there is...

How Corrupt Are We?

Posted on April 03, 2010
This will be a "thinking by blogging" post. [Insert reader query: "As opposed to all your other posts?"] The Wall Street Journal has a story today wherein it is argued that government corruption is not necessarily bad for an economy....

Ong on Chinese Financial Regulation

Posted on April 03, 2010
Allan Verman Yap Ong has posted How the Implementation of Securitization in China Can Avoid the Problems that Caused the Financial Crisis that Arose in the United States on SSRN with the following abstract: In 2008, the subprime mortgage crisis...

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Simmons on Corporate Governance

Posted on April 03, 2010
Omari Scott Simmons has posted Corporate Reform as a Credence Service on SSRN with the following abstract: With the recent meltdown of the U.S. economy, there is no shortage of blameworthy corporate directors and managers. But this Essay focuses on...

It's Not Sovereign Debt -- Really

Posted on April 02, 2010
As I discussed last week, I don't like the idea of finding ?implicit guarantees? in contracts between sophisticated parties. Nonetheless, I was happy to hear that Treasury Secretary Timothy Geithner today stated specifically that Fannie Mae and Freddie Mac should...

Padfield on Securities Regulation

Posted on April 01, 2010
Stefan J. Padfield has posted Immaterial Lies: Condoning Deceit in the Name of Securities Regulation on SSRN with the following abstract: The financial crisis of 2008-2009 is once again raising the issue of investor trust and confidence in the market...

Dalley on Business Associations

Posted on April 01, 2010
Paula J. Dalley has posted Imagining Business Associations Without Agency Law on SSRN with the following abstract:The application of agency law to business associations presents a variety of problems. This essay considers an alternative conception of the business association that...

Can an investor reasonably rely on a promise of a return of 4900% in two months?

Posted on April 01, 2010
On March 18, the SEC "charged a South Carolina-based attorney and a cohort with securities fraud for bilking investors in a high-yield investment scheme that promised rates of return as high as 4,900 percent in just two months." Meanwhile, Prof....

Chaffee Steals One of My Blog Posts

Posted on April 01, 2010
Depriving me of the opportunity to use such great lines as: I cite myself. I want you to cite me. Why blog, if not to shamelessly self-promote? But seriously, I bow in gratitude to my dear friend for kindly posting...

Reconciling the Joneses

Posted on March 31, 2010
Without delving too deeply into Jones v. Harris Associates, which has already been covered quite well by others, I share a small observation: I think the Seventh Circuit?s standard and the Supreme Court?s standard (by way of the Second Circuit...

And the first shelved reform is...

Posted on March 30, 2010
...the harmonization of the standards of care owed customers by, respectively, brokers and investment advisers. For although successive administrations called for the move (and the courts long ago abolished SEC attempts to distinguish the two), lobbyists simply couldn't let the...

Supreme Court Rules on Jones v. Harris Associates

Posted on March 30, 2010
The eagerly anticipated Supreme Court decision in Jones v. Harris Associates came down earlier today. The case asked whether mutual fund customers could utilize the Investment Company Act to contest excessive adviser fees. In a unanimous decision, the Court remanded...

Pro-Market and Pro-Business: A Prescription for Confusion

Posted on March 29, 2010
Ezra Klein at the Washington Post today writes about the differences between ?pro-market? and ?pro-business? in the healthcare context. Without delving into the health care issue he raises, I very much appreciate the overarching point: Pro-business does not necessarily equal...

Perhaps a little more light has shone...

Posted on March 29, 2010
There was an interesting article in The New York Times this past Friday. "Does This Bank Watchdog Have A Bite?" by Andrew Martin highlighted the preemption controversy continuing between State banking regulators and the Office of the Comptroller of the...

Caron, Kowal, and Pratt on Pursuing a Tax LLM

Posted on March 28, 2010
Paul L. Caron, Jennifer M. Kowal, and Katherine Pratt have posted Pursuing a Tax LLM Degree: Why and When? on SSRN with the following abstract: This Article and a related article, Pursuing a Tax LLM Degree: Where?, provide information and...

Davidoff on International Securities Regulation

Posted on March 27, 2010
Steven M. Davidoff has posted Rhetoric and Reality: A Historical Perspective on the SEC's Regulation of Foreign Private Issuers on SSRN with the following abstract: Rhetoric can drive reform. Watch-words like ?mutual recognition? and ?global competition? have masked a political...

Draw Your Own Conclusions

Posted on March 27, 2010
Item 1. The Wall Street Journal reports on a couple of post-Citizens United campaign finance cases here. In at least one of them (according to the story), the Republican National Committee was against the particular restriction at issue while the...

Implicitly Too Big To Fail

Posted on March 26, 2010
Senator Richard Shelby yesterday provided a letter to Treasure Secretary Timothy Geithner listing his complaints related to the financial reform bill that was approved by the Senate Banking Committee on Monday. The Banking Committee bill includes a provision requiring large...

Symposium on International Finance After the Crash: Regional Responses to the Global Financial Crisis

Posted on March 25, 2010
Cleveland-Marshall College of Law's Global Business Law Review is hosting a symposium on Friday, April 9, entitled: International Finance After the Crash: Regional Responses to the Global Financial Crisis. For more information, go here. SJP

If you think the lack of diversity in corporate boardrooms is a problem...

Posted on March 25, 2010
...then the composition of South Carolina University's Board of Trustees will likely make you apoplectic. In a state where over a quarter of the population is African-American, the 22-member board will apparently not have a single African-American representative by the...

It's Time to Trust the Housing Market Again

Posted on March 24, 2010
A major, and continuing, part of the financial crisis relates to the struggling housing market. According to the National Association of Realtors, housing inventories are up slightly, possibly driven by those seeking to ?trade up? in the ?down market...

Flechtner on International Commercial Law

Posted on March 24, 2010
Harry M. Flechtner has posted Globalization of Law as Documented in the Law on International Sales of Goods on SSRN with the following abstract:This paper, presented as part of the 2008-09 Willy Delva Lecture series at the University of Gent...

My, what changes 3 years (and $3 trillion in recovery money) can bring...

Posted on March 23, 2010
"Prominent figures in the U.S. are warning that the nation's financial markets have been handicapped by post-Enron regulatory overreach. Treasury Secretary Henry Paulson has made addressing the problem a signature political issue. A blue-ribbon committee chaired by former Bush economist...

Thomas and Wells on Executive Compensation

Posted on March 22, 2010
Randall S. Thomas and Harwell Wells have posted Executive Compensation in the Courts: Board Capture, Optimal Contracting and Officer Fiduciary Duties on SSRN with the following abstract: This Article proposes a new approach to monitoring executive compensation...

On Regulatory Staffing

Posted on March 22, 2010
An op-ed piece in The New York Times on Friday questioned whether the mission of S.E.C. reform is best served through traditional remedies. Specifically, "A Foreign Service for Wall Street," while acknowledging that the Commission has already "taken steps" to...

Free Market + Adam Smith = Regulation?

Posted on March 22, 2010
In President Obama?s weekly radio address, he explained his view that ?free markets? and ?regulation? are not inherently contradictory: I have long been a vigorous defender of free markets. And I believe we need a strong and vibrant financial sector....

More on Shaming Corporate Criminals: It's Complicated

Posted on March 20, 2010
Over at Simple Justice, criminal defense lawyer Scott Greenfield points out some problems with my fine/jail alternative to shaming corporate defendants: Fines don't cut the mustard ... the people who run corporations aren't the people who have to pay the...

When Just A Little Charity Is Not Enough

Posted on March 19, 2010
The Illinois Supreme Court yesterday issued an opinion upholding an appellate court decision revoking a hospital?s charitable property-tax-exempt status. This ruling will lead to property tax liability in the seven figures. The decision has already prompted significant criticism (along with...

Afsharipour on the Financial Crisis

Posted on March 19, 2010
Afra Afsharipour has posted Integrating the Financial Crisis in the Business Associations Course: Benefits and Pitfalls on SSRN with the following abstract:In a time of economic turmoil, teaching business law classes can be both inspiring and precarious...

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