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- Title
OF COMPLICITY AND COMPLIANCE: A RULES- BASED ANTI-COMPLICITY STRATEGY UNDER FEDERAL SECURITIES LAW.
- Authors
Franco, Joseph A.
- Abstract
The article discusses rules-based strategies, principles, measures, and standards for deterring anti-complicity policies which expand the unlawful behavior of secondary actors involved with securities law violations in the U.S. It notes the prospective clarity that rules-based regime promotes for the obligations of secondary actors. The author further highlights the need for the U.S. Securities and Exchange Commission (SEC) to formulate rules across various transactions and secondary actors.
- Subjects
UNITED States; SECURITIES; ILLEGALITY; OBLIGATIONS (Law); UNITED States. Securities &; Exchange Commission
- Publication
University of Pennsylvania Journal of Business Law, 2011, Vol 14, Issue 1, p1
- ISSN
1945-2934
- Publication type
Article