Publicness In Contemporary Securities Regulation After The Jobs Act

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'Publicness' in Contemporary Securities Regulation After the JOBS Act

Author : Donald C. Langevoort
Publisher :
ISBN 13 :
Total Pages : 0 pages
Book Rating : 4.:/5 (137 download)

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Book Synopsis 'Publicness' in Contemporary Securities Regulation After the JOBS Act by : Donald C. Langevoort

Download or read book 'Publicness' in Contemporary Securities Regulation After the JOBS Act written by Donald C. Langevoort and published by . This book was released on 2013 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: The JOBS Act of 2012 reflects the largest deregulatory change to the Securities Exchange Act of 1934 over its more than 75 year history. It contracts the coverage of those companies subject to the obligations of 'publicness' and it introduces an 'on ramp' that will permit most newly-public companies to meet a lesser set of disclosure, internal control and governance obligations for up to five years. We set these changes against a larger discussion of when a private enterprise should be forced to take on public status in securities regulation, a topic that has been entirely under theorized. We conclude that the change from 500 to 2000 shareholders of record made by the JOBS Act, while entirely clear in its deregulatory thrust, misses a key point: 'record' ownership is an antiquated metric for any measuring of publicness and Congress needs to find a better one, such as public trading. More broadly, we observe that Congress increasingly has defined public obligations in securities regulation less by the traditional touchstone of investor protection and more by ways that our largest companies affect constituencies beyond their investor base. Our boundary-setting thus should include two tiers of public companies with the smaller tier limited to core disclosure and governance obligations. Finally, our review of these boundary questions reveals a larger pattern that ought to inform how we understand securities regulation. Entrepreneurs and their advisors regularly occupy new unregulated space created in the wake of technological change or by gaps in regulation revealed as markets evolve. Government response, seemingly inevitably, is piecemeal and reactive. The result is a regulatory process that is more informal than administrative law theory usually suggests and more opaque than we might want in contemplating regulatory change.

Yale Law Journal: Volume 123, Number 3 - December 2013

Author : Yale Law Journal
Publisher : Quid Pro Books
ISBN 13 : 1610278712
Total Pages : 464 pages
Book Rating : 4.6/5 (12 download)

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Book Synopsis Yale Law Journal: Volume 123, Number 3 - December 2013 by : Yale Law Journal

Download or read book Yale Law Journal: Volume 123, Number 3 - December 2013 written by Yale Law Journal and published by Quid Pro Books. This book was released on 2013-12-18 with total page 464 pages. Available in PDF, EPUB and Kindle. Book excerpt: The December issue of The Yale Law Journal (the third of Volume 123, academic year 2013-2014) features new articles and essays on law and legal theory by internationally recognized scholars. Contents include: * Article, "The Interpretation-Construction Distinction in Patent Law," by Tun-Jen Chiang & Lawrence B. Solum * Article, "Agencies as Litigation Gatekeepers," by David Freeman Engstrom * Essay,"Tops, Bottoms, and Versatiles: What Straight Views of Penetrative Preferences Could Mean for Sexuality Claims Under Price Waterhouse," by Ian Ayres & Richard Luedeman * Review, "Why Protect Religious Freedom?," by Michael W. McConnell * Note, "The Case for Tax: A Comparative Approach to Innovation Policy," by Shaun P. Mahaffy Quality ebook formatting includes fully linked footnotes, active Table of Contents (including linked Contents for individual articles), active URLs in notes, and properly presented tables and graphs throughout.

Contemporary Problems in Securities Regulation

Author :
Publisher :
ISBN 13 :
Total Pages : 286 pages
Book Rating : 4.:/5 (915 download)

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Book Synopsis Contemporary Problems in Securities Regulation by :

Download or read book Contemporary Problems in Securities Regulation written by and published by . This book was released on 1959 with total page 286 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Regulating (From) the Inside

Author : Iris H-Y Chiu
Publisher : Bloomsbury Publishing
ISBN 13 : 1509901396
Total Pages : 407 pages
Book Rating : 4.5/5 (99 download)

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Book Synopsis Regulating (From) the Inside by : Iris H-Y Chiu

Download or read book Regulating (From) the Inside written by Iris H-Y Chiu and published by Bloomsbury Publishing. This book was released on 2015-11-05 with total page 407 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book examines a key aspect of the post-financial crisis reform package in the EU and UK-the ratcheting up of internal control in banks and financial institutions. The legal framework for internal controls is an important part of prudential regulation, and internal control also constitutes a form of internal gate-keeping for financial firms so that compliance with laws and regulations can be secured. This book argues that the legal framework for internal control, which is a form of meta-regulation, is susceptible to weaknesses, and such weaknesses are critically examined by adopting an interdisciplinary approach. The book discusses whether post-crisis reforms adequately address the weaknesses in regulating internal control and proposes an alternative strategy to enhance the 'governance' effectiveness of internal control.

EU Securities and Financial Markets Regulation

Author : Niamh Moloney
Publisher : Oxford University Press
ISBN 13 : 0192583417
Total Pages : 993 pages
Book Rating : 4.1/5 (925 download)

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Book Synopsis EU Securities and Financial Markets Regulation by : Niamh Moloney

Download or read book EU Securities and Financial Markets Regulation written by Niamh Moloney and published by Oxford University Press. This book was released on 2023-03-29 with total page 993 pages. Available in PDF, EPUB and Kindle. Book excerpt: Over the decade or so since the global financial crisis rocked EU financial markets and led to wide-ranging reforms, EU securities and financial markets regulation has continued to evolve. The legislative framework has been refined and administrative rulemaking has expanded. Alongside, the Capital Markets Union agenda has developed, the UK has left the EU, and ESMA has emerged as a decisive influence on EU financial markets governance. All these developments, as well as the Covid-19 pandemic, have shaped the regulatory landscape and how supervision is organized. EU Securities and Financial Markets Regulation provides a comprehensive, critical, and contextual account of the intricate rulebook that governs EU financial markets and its supporting institutional arrangements. It is framed by an assessment of how the regime has evolved over the decade or so since the global financial crisis and considers, among other matters, the post-crisis reforms to key legislative measures, the massive expansion of administrative rulemaking and of soft law, the Capital Markets Union agenda, the development of supervisory convergence as the means for organizing pan-EU supervision, and ESMA's role in EU financial markets governance. Its coverage extends from capital-raising and the Prospectus Regulation to financial market intermediation and the MiFID II/MiFIR and IFD/IFR regimes, to the new regulatory regimes adopted since the global financial crisis (including for benchmarks and their administrators), to retail market regulation and the PRIIPs Regulation, and on to the EU's third country regime and the implications of the UK's departure from the EU. This is the fourth edition of the highly successful and authoritative monograph first published as EC Securities Regulation. Heavily revised from the third edition to reflect developments since the global financial crisis, it adopts the in-depth contextual and analytical approach of earlier editions and so considers the market, political, institutional, and international context of the regulatory and supervisory regime.

The Corporate Contract in Changing Times

Author : Steven Davidoff Solomon
Publisher : University of Chicago Press
ISBN 13 : 022659954X
Total Pages : 364 pages
Book Rating : 4.2/5 (265 download)

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Book Synopsis The Corporate Contract in Changing Times by : Steven Davidoff Solomon

Download or read book The Corporate Contract in Changing Times written by Steven Davidoff Solomon and published by University of Chicago Press. This book was released on 2019-03-08 with total page 364 pages. Available in PDF, EPUB and Kindle. Book excerpt: Over the past few decades, significant changes have occurred across capital markets. Shareholder activists have become more prominent, institutional investors have begun to wield more power, and intermediaries like investment advisory firms have greatly increased their influence. These changes to the economic environment in which corporations operate have outpaced changes in basic corporate law and left corporations uncertain of how to respond to the new dynamics and adhere to their fiduciary duties to stockholders. With The Corporate Contract in Changing Times, Steven Davidoff Solomon and Randall Stuart Thomas bring together leading corporate law scholars, judges, and lawyers from top corporate law firms to explore what needs to change and what has prevented reform thus far. Among the topics addressed are how the law could be adapted to the reality that activist hedge funds pose a more serious threat to corporations than the hostile takeovers and how statutory laws, such as the rules governing appraisal rights, could be reviewed in the wake of appraisal arbitrage. Together, the contributors surface promising paths forward for future corporate law and public policy.

The Oxford Handbook of Financial Regulation

Author : Niamh Moloney
Publisher : OUP Oxford
ISBN 13 : 0191510874
Total Pages : 796 pages
Book Rating : 4.1/5 (915 download)

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Book Synopsis The Oxford Handbook of Financial Regulation by : Niamh Moloney

Download or read book The Oxford Handbook of Financial Regulation written by Niamh Moloney and published by OUP Oxford. This book was released on 2015-08-27 with total page 796 pages. Available in PDF, EPUB and Kindle. Book excerpt: The financial system and its regulation have undergone exponential growth and dramatic reform over the last thirty years. This period has witnessed major developments in the nature and intensity of financial markets, as well as repeated cycles of regulatory reform and development, often linked to crisis conditions. The recent financial crisis has led to unparalleled interest in financial regulation from policymakers, economists, legal practitioners, and the academic community, and has prompted large-scale regulatory reform. The Oxford Handbook of Financial Regulation is the first comprehensive, authoritative, and state of the art account of the nature of financial regulation. Written by an international team of leading scholars in the field, it takes a contextual and comparative approach to examine scholarly, policy, and regulatory developments in the past three decades. The first three parts of the Handbook address the underpinning horizontal themes which arise in financial regulation: financial systems and regulation; the organization of financial system regulation, including regional examples from the EU and the US; and the delivery of outcomes and regulatory techniques. The final three Parts address the perennial objectives of financial regulation, widely regarded as the anchors of financial regulation internationally: financial stability, market efficiency, integrity, and transparency; and consumer protection. The Oxford Handbook of Financial Regulation is an invaluable resource for scholars and students of financial regulation, economists, policy-makers and regulators.

Chasing the Tape

Author : Onnig H. Dombalagian
Publisher : MIT Press
ISBN 13 : 026232430X
Total Pages : 381 pages
Book Rating : 4.2/5 (623 download)

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Book Synopsis Chasing the Tape by : Onnig H. Dombalagian

Download or read book Chasing the Tape written by Onnig H. Dombalagian and published by MIT Press. This book was released on 2015-04-10 with total page 381 pages. Available in PDF, EPUB and Kindle. Book excerpt: An examination of regulation and use of information in capital markets, offering comparisons across different jurisdictions, regulated entities, and financial instruments. Financial information is a both a public resource and a commodity that market participants produce and distribute in connection with other financial products and services. Legislators, regulators, and other policy makers must therefore balance the goal of making information transparent, accessible, and useful for the collective benefit of society against the need to maintain appropriate incentives for information originators and intermediaries. In Chasing the Tape, Onnig Dombalagian examines the policy objectives and regulatory tools that shape the information production chain in capital markets in the United States, the European Union, and other jurisdictions. His analysis offers a unique cross section of capital market infrastructure, spanning different countries, regulated entities, and financial instruments. Dombalagian uses four key categories of information—issuer information, market information, information used in credit analysis, and benchmarks—to survey the market forces and regulatory regimes that govern the flow of information in capital markets. He considers the similarities and differences in regulatory aims and strategies across categories, and discusses alternative approaches proposed or adopted by scholars and policy makers. Dombalagian argues that the long-term regulatory challenges raised by economic globalization and advanced information technology will require policy makers to decouple information policy in capital markets from increasingly arbitrary historical classifications and jurisdictional boundaries.

Global Securities Litigation and Enforcement

Author : Pierre-Henri Conac
Publisher : Cambridge University Press
ISBN 13 : 1108577423
Total Pages : 1363 pages
Book Rating : 4.1/5 (85 download)

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Book Synopsis Global Securities Litigation and Enforcement by : Pierre-Henri Conac

Download or read book Global Securities Litigation and Enforcement written by Pierre-Henri Conac and published by Cambridge University Press. This book was released on 2019-01-03 with total page 1363 pages. Available in PDF, EPUB and Kindle. Book excerpt: Global Securities Litigation and Enforcement provides a clear and exhaustive description of the national regime for the enforcement of securities legislation in cases of misrepresentation on financial markets. It covers 29 jurisdictions worldwide, some of them are important although their law is not well known. It will be an invaluable resource for academics and students of securities litigation, as well as for lawyers, policy-makers and regulators. The book also provides a comprehensive contribution debate on whether public or private enforcement is preferable in terms of development of securities markets. It will appeal to those interested in the legal origins theory and in comparative securities law, and shows that the classification of jurisdictions within legal families does not explain the differences in legal regimes. While US securities law often serves as a model for international convergence, some of its elements, such as securities class actions, have not been adopted worldwide.

The Oxford Handbook of Fiduciary Law

Author : Evan J. Criddle
Publisher : Oxford University Press
ISBN 13 : 0190941499
Total Pages : pages
Book Rating : 4.1/5 (99 download)

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Book Synopsis The Oxford Handbook of Fiduciary Law by : Evan J. Criddle

Download or read book The Oxford Handbook of Fiduciary Law written by Evan J. Criddle and published by Oxford University Press. This book was released on 2019-04-29 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: The Oxford Handbook of Fiduciary Law provides a comprehensive overview of critical topics in fiduciary law and theory through chapters authored by leading scholars. The Handbook opens with surveys of the many fields of law in which fiduciary duties arise, including agency law, trust law, corporate law, pension law, bankruptcy law, family law, employment law, legal representation, health care, and international law. Drawing on these surveys, the Handbook offers a synthetic analysis of fiduciary law's key concepts and principles. Chapters in the Handbook explore the defining features of fiduciary relationships, clarify the distinctive fiduciary duties that arise in these relationships, and identify the remedies available for breach of fiduciary duties. The volume also provides numerous comparative perspectives on fiduciary law from eminent legal historians and from scholars with deep expertise in a diverse array of the world's legal systems. Finally, the Handbook lays the groundwork for future research on fiduciary law and theory by highlighting cross-cutting themes, identifying persistent theoretical and practical challenges, and exploring how the field could be enriched through empirical analysis and interdisciplinary insights from economics, philosophy, and psychology. Unparalleled in its breadth and depth of coverage, The Oxford Handbook of Fiduciary Law represents an invaluable resource for practitioners, policymakers, scholars, and students in this essential field of law.

Research Handbook on Shareholder Power

Author : Jennifer G. Hill
Publisher : Edward Elgar Publishing
ISBN 13 : 1782546855
Total Pages : 638 pages
Book Rating : 4.7/5 (825 download)

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Book Synopsis Research Handbook on Shareholder Power by : Jennifer G. Hill

Download or read book Research Handbook on Shareholder Power written by Jennifer G. Hill and published by Edward Elgar Publishing. This book was released on 2015-07-31 with total page 638 pages. Available in PDF, EPUB and Kindle. Book excerpt: Much of the history of corporate law has concerned itself not with shareholder power, but rather with its absence. Recent shifts in capital market structure require a reassessment of the role and power of shareholders. These original, specially commiss

Contemporary Problems in Securities Regulation

Author : Louis Loss
Publisher :
ISBN 13 :
Total Pages : 7 pages
Book Rating : 4.:/5 (826 download)

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Book Synopsis Contemporary Problems in Securities Regulation by : Louis Loss

Download or read book Contemporary Problems in Securities Regulation written by Louis Loss and published by . This book was released on 1959 with total page 7 pages. Available in PDF, EPUB and Kindle. Book excerpt:

A Research Agenda for Corporate Law

Author : Christopher M. Bruner
Publisher : Edward Elgar Publishing
ISBN 13 : 1800880448
Total Pages : 299 pages
Book Rating : 4.8/5 (8 download)

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Book Synopsis A Research Agenda for Corporate Law by : Christopher M. Bruner

Download or read book A Research Agenda for Corporate Law written by Christopher M. Bruner and published by Edward Elgar Publishing. This book was released on 2023-11-03 with total page 299 pages. Available in PDF, EPUB and Kindle. Book excerpt: Outlining significant dynamics that may pave the way for future evolution in the field of corporate law, this timely Research Agenda explores provocative and cutting-edge developments to identify new directions for scholarly inquiry. Bringing together a diverse group of scholars, the book evaluates doctrinal and normative issues in corporate law from a range of contextual and interdisciplinary viewpoints.

The Anatomy of Corporate Law

Author : Reinier H. Kraakman
Publisher : Oxford University Press
ISBN 13 : 019873963X
Total Pages : 305 pages
Book Rating : 4.1/5 (987 download)

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Book Synopsis The Anatomy of Corporate Law by : Reinier H. Kraakman

Download or read book The Anatomy of Corporate Law written by Reinier H. Kraakman and published by Oxford University Press. This book was released on 2017 with total page 305 pages. Available in PDF, EPUB and Kindle. Book excerpt: This is the long-awaited third edition of this highly regarded comparative overview of corporate law. This edition has been comprehensively revised and updated to reflect the profound changes in corporate law and governance practices that have taken place since the previous edition. These include numerous regulatory changes following the financial crisis of 2007-09 and the changing landscape of governance, especially in the US, with the ever more central role of institutional investors as (active) owners of corporations. The geographic scope of the coverage has been broadened to include an important emerging economy, Brazil. In addition, the book now incorporates analysis of the burgeoning use of corporate law to protect the interests of "external constituencies" without any contractual relationship to a company, in an attempt to tackle broader social and economic problems. The authors start from the premise that corporations (or companies) in all jurisdictions share the same key legal attributes: legal personality, limited liability, delegated management, transferable shares, and investor ownership. Businesses using the corporate form give rise to three basic types of agency problems: those between managers and shareholders as a class; controlling shareholders and minority shareholders; and shareholders as a class and other corporate constituencies, such as corporate creditors and employees. After identifying the common set of legal strategies used to address these agency problems and discussing their interaction with enforcement institutions, The Anatomy of Corporate Law illustrates how a number of core jurisdictions around the world deploy such strategies. In so doing, the book highlights the many commonalities across jurisdictions and reflects on the reasons why they may differ on specific issues. The analysis covers the basic governance structure of the corporation, including the powers of the board of directors and the shareholder meeting, both when management and when a dominant shareholder is in control. It then analyses the role of corporate law in shaping labor relationships, protection of external stakeholders, relationships with creditors, related-party transactions, fundamental corporate actions such as mergers and charter amendments, takeovers, and the regulation of capital markets. The Anatomy of Corporate Law has established itself as the leading book in the field of comparative corporate law. Across the world, students and scholars at various stages in their careers, from undergraduate law students to well-established authorities in the field, routinely consult this book as a starting point for their inquiries.

The Cambridge Handbook of Investor Protection

Author : Arthur B. Laby
Publisher : Cambridge University Press
ISBN 13 : 1108995926
Total Pages : 687 pages
Book Rating : 4.1/5 (89 download)

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Book Synopsis The Cambridge Handbook of Investor Protection by : Arthur B. Laby

Download or read book The Cambridge Handbook of Investor Protection written by Arthur B. Laby and published by Cambridge University Press. This book was released on 2022-10-27 with total page 687 pages. Available in PDF, EPUB and Kindle. Book excerpt: The topic of investor protection has occupied investors, businesses, regulators, academics, and courts since the 1930s. The topic exploded in importance after the 2008 financial crisis and the Bernard Madoff Ponzi scheme of the same year. Investor protection scholarship now seeks to respond to developments such as the institutionalization of the markets, the democratization of finance, and the enhanced role of market professionals and other gatekeepers. Additionally, although the philosophy of full disclosure remains the guiding principle behind the securities laws, recent research has questioned the merits of a disclosure-based regime. In light of these trends, regulators try to strike the right balance between imposing a strict investor protection regime, on the one hand, and giving businesses the freedom to innovate new projects, market new services, and reduce costs, on the other. The Cambridge Handbook of Investor Protection brings together leading scholars to inform this debate and fill a gap left by these developments.

Reducing Barriers to Capital Formation

Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Publisher :
ISBN 13 :
Total Pages : 88 pages
Book Rating : 4.F/5 ( download)

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Book Synopsis Reducing Barriers to Capital Formation by : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises

Download or read book Reducing Barriers to Capital Formation written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises and published by . This book was released on 2013 with total page 88 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Emerging Markets and Sovereign Risk

Author : N. Finch
Publisher : Springer
ISBN 13 : 1137450665
Total Pages : 438 pages
Book Rating : 4.1/5 (374 download)

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Book Synopsis Emerging Markets and Sovereign Risk by : N. Finch

Download or read book Emerging Markets and Sovereign Risk written by N. Finch and published by Springer. This book was released on 2014-12-09 with total page 438 pages. Available in PDF, EPUB and Kindle. Book excerpt: Emerging Markets and Sovereign Risk provides case studies, commentary and analysis on the financial risk management and measurement in the context of frontier and developing counties from international experts covering three key areas of emerging market investments, the rating sovereign risk and managing sovereign risk.