SEC
Announcement: Fordham Journal of Corporate & Financial Law’s 2012 Symposium – “Regulation of Over-the-Counter Derivatives” – February 13, 2012
The Fordham Journal of Corporate & Financial Law (FJCFL) and the Fordham Corporate Law Center are proud to announce that this year’s annual FJCFL symposium will be titled “Regulation of Over-the-Counter Derivatives” and will take place on Monday, February 13th, 2012 at 113 West 60th Street, Lowenstein Building, 12th Floor Lounge. Overview: This year’s symposium, titled “Regulation of Over-the-Counter [...]
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TAGS CFTC, Clearinghouse, Derivatives, Dodd-Frank, Over-the-Counter, SEC, Securities
POSTED IN Dodd-Frank, Securities Regulation, Symposia
POSTED IN Dodd-Frank, Securities Regulation, Symposia
Press Coverage of Twelfth Annual Sommer Lecture featuring SEC Commissioner Troy A. Paredes
Click on the article title to jump to piece: Regulating Wall Street In The Age of Disclosure Overload by Bill Singer Less but better disclosure may be more, U.S. SEC Commissioner Paredes says by Stuart Gittleman Regulating Wall Street In The Age of Disclosure Overload By Bill Singer Forbes http://www.forbes.com/sites/billsinger/2011/11/30/regulating-wall-street-in-the-age-of-disclosure-overload/ Pinch me. Please. Again. [...]
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TAGS Disclosure, Dodd-Frank, Press, SEC, Securities, Troy A. Paredes
POSTED IN News & Events
POSTED IN News & Events
The Philosophy and Practice of Disclosure
Please find the transcript to the lecture here. On October 27, 2011, Commissioner Troy A. Paredes of the U.S. Securities & Exchange Commission, delivered the Corporate Law Center’s Twelfth Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law. The title of his lecture was “The Philosophy and Practice of Disclosure.”
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TAGS Disclosure, Dodd-Frank, SEC, Securities, Troy A. Paredes
POSTED IN A.A. Sommer Jr. Lecture, Featured Video
POSTED IN A.A. Sommer Jr. Lecture, Featured Video
Twelfth Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law
Please find the video to the lecture here. Transcript: Twelfth Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law “The Philosophy and Practice of Disclosure” Commissioner Troy A. Paredes U.S. Securities and Exchange Commission October 27, 2011 Thank you for the generous introduction. And thank you to Fordham Law School for [...]
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TAGS Disclosure, Dodd-Frank, SEC, Securities, Troy A. Paredes
POSTED IN A.A. Sommer Jr. Lecture
POSTED IN A.A. Sommer Jr. Lecture
Is FINRA Fatal? The Impact Of Extending SROs To Investment Advisers.
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for securities firms doing business in the United States. As a Self-Regulatory Organization (SRO), FINRA is tasked with market regulation through contract with major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, the NASDAQ Stock Market and the International [...]
MF Global Notes
The tragedy that is MF Global seems to get worse by the minute. Just last week, the failed commodities broker fired 1,066 workers, sparking three class-action lawsuits under the Warn Act, a federal law requiring 60-days’ notice before mass layoffs. If plaintiffs prevail, the bankrupt company could be liable for wages employees would have earned [...]
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TAGS Corzine, layoffs, SEC, sovereign debt crisis
POSTED IN Bankruptcy, Securities Regulation
POSTED IN Bankruptcy, Securities Regulation
To Not Admit or To Not Deny, That is the Question: Accountability and the Proposed Citigroup Settlement
What does it mean to neither admit nor deny allegations? In one of the financial industry’s most recent magic tricks, banks have figured out how to buy “innocence” from the Securities Exchange Commission through settlement. On Wednesday, November 9th, 2011, Southern District of New York Judge Jed S. Rakoff held an hour long hearing to [...]
Do SEC Settlements Prospectively Change Conduct?
Over the past few years, Judge Jed Rakoff, Federal District Court Judge for the Southern District of New York has been a champion against big banks and the Securities and Exchange Commission (SEC). Most recently, Citigroup and SEC lawyers have been called to court on November 9, 2011 to defend the terms of their $285 [...]
Say on Pay and the Business Judgment Rule
Last week the Delaware Chancery Court dismissed a derivative suit filed against Goldman Sachs. The suit alleged that the company’s compensation system wrongfully rewarded employees for taking risks that harmed the firm’s stock price. The suit was filed in the wake of the most recent mortgage crisis. The plaintiffs lawyers argued that the firm’s board [...]
The SEC and Proposed Rule 127B: A New Day for Regulation or a Continuation of Current Trends?
The United States Securities and Exchange Commission (the “SEC”) has issued Proposed Rule 127B, implementing Section 621 of the Dodd-Frank Act, which amended Section 27B of the Securities Act of 1933 (the “Securities Act”), barring material conflicts of interest in securitization transactions. Rule 127B would ban hedge funds and banks from assembling risky securities, marketing [...]
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TAGS CDO, Dodd-Frank, gramm-leach-bliley, SEC
POSTED IN Banking & Finance, Corporate Law, Dodd-Frank, Securities Regulation, Volcker Rule
POSTED IN Banking & Finance, Corporate Law, Dodd-Frank, Securities Regulation, Volcker Rule
Featured Video
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Eugene P. and Delia S. Murphy Conference on Corporate Law
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Representation Without Accountability?
- Business Law Practitioners Series – Fall 2011
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The Philosophy and Practice of Disclosure
- BLPS – Rory Cutaia ’85
- The Looming Problems of The Bureau of Consumer Financial Protection
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Financial Reform Legislation: There Ought To Be A Law, But Is This It?
Highlights From Volume 18 Book I
THE BEHAVIORAL PARADOX: WHY INVESTOR IRRATIONALITY CALLS FOR LIGHTER AND SIMPLER FINANCIAL REGULATION
It is widely believed that behavioral economics justifies more intrusive regulation of financial markets, because people are not fully rational and need to be protected from their quirks. This Article challenges that belief. Firstly, insofar as people can be helped to make better choices, that goal can usually be achieved through light-touch regulations. Secondly, faulty [...]
DEMANDING SUBSTANCE OR FORM? THE SEC’S PLAIN ENGLISH HANDBOOK AS A BASIS FOR SECURITIES VIOLATIONS
In 1998, the United States Securities and Exchange Commission (“SEC” or “Commission”) released a style manual titled “The Plain English Handbook.” The culmination of a drive by its Chairman, Arthur Levitt, the Handbook drew upon the rules of grammar, best industry practice, and even the support of billionaire Warren Buffett in calling for a layman’s [...]
FULL OF HOT AIR? EVALUATING THE AIRGAS COURT’S RESERVATIONS ABOUT SHAREHOLDERS’ SHORT-TERM AND LONGTERM INTERESTS IN TAKEOVERS
This Note explores the incentives and preferences of shareholders in takeovers. This analysis is conducted in the context of the Delaware Chancery Court’s February 2011 decision in Air Products & Chemicals v. Airgas. In that case, the court’s decision largely turned on whether certain short-term and long-term shareholders have different preferences and incentives in takeovers. [...]
News & Events
- Can Woman Have It All? A Live Webcast with Anne-Marie Slaughter (4/24/2013)
- 13th Annual A.A. Sommer, Jr. Lecture on Corporate, Securities & Financial Law (4/18/2013)
- 13th Annual A.A. Sommer, Jr. Lecture on Corporate, Securities & Financial Law (4/18/2013)
- International In-House Counsel Breakfast Forum Series for Students (4/18/2013)
- Business Law Practitioners Series for students (4/16/2013)
- Fordham Corporate Center