Works matching DE "SECURITIES trading laws"

Results: 43

The Duty to Manage Risk.

Published in:

Journal of Corporation Law, 2014, v. 39, n. 2, p. 253

By:

Hurt, Christine

Publication type:

Article

What Can We Expect to Gain from Reforming the Insolvent Trading Remedy?

Published in:

Modern Law Review, 2015, v. 78, n. 1, p. 55, doi. 10.1111/1468-2230.12106

By:

Williams, Richard

Publication type:

Article

10B5-1 PLANS: FURTHER OBSCURING THE "SMOKING GUN" AND PROPOSALS FOR CHANGE.

Published in:

University of Pennsylvania Journal of Business Law, 2014, v. 16, n. 3, p. 937

By:

Trueper, Jane

Publication type:

Article

THE FINAL VOLCKER RULE: THE PROPRIETARY TRADING PROVISIONS.

Published in:

Banking Law Journal, 2014, v. 131, n. 1, p. 99

By:

KINI, SATISH M.;
LEE, PAUL L.;
LYONS, GREGORY J.

Publication type:

Article

THE VOLCKER IS HERE, FINALLY.

Published in:

Banking Law Journal, 2014, v. 131, n. 1, p. 97

By:

MEYEROWITZ, STEVEN A.

Publication type:

Article

PLUGGING LEAKS AND LOWERING LEVEES IN THE FEDERAL GOVERNMENT: PRACTICAL SOLUTIONS FOR SECURITIES TRADING BASED ON POLITICAL INTELLIGENCE.

Published in:

University of Illinois Law Review, 2014, v. 2014, n. 5, p. 1521

By:

Nagy, Donna M.;
Painter, Richard W.

Publication type:

Article

INSIDER TRADING: THERE OUGHTA BE A LAW--OR NOT.

Published in:

Regulation, 2015, v. 38, n. 3, p. 18

By:

BOOTH, RICHARD A.

Publication type:

Article

AMERICAN APPAREL, CRUMBS CUPCAKES, AND LULULEMON, OH MY! EXAMPLES OF WHY INCREASED SHAREHOLDER INVOLVEMENT WILL NOT FIX CORPORATE AMERICA.

Published in:

Arizona Law Review, 2014, v. 56, n. 3, p. 937

By:

Ganin, Colleen

Publication type:

Article

MiFID II and MiFIR: stricter rules for the EU financial markets.

Published in:

Law & Financial Markets Review, 2017, v. 11, n. 2/3, p. 126, doi. 10.1080/17521440.2017.1412060

By:

Busch, Danny

Publication type:

Article

Regulatory reform in China's IPO Market.

Published in:

Law & Financial Markets Review, 2012, v. 6, n. 5, p. 357, doi. 10.5235/LFMR6.5.357

By:

QI QIU

Publication type:

Article

MiFID II: reshaping the perimeter of EU trading market regulation.

Published in:

2012

By:

Moloney, Niamh

Publication type:

Editorial

DEVELOPING A STOCK MARKET WITHOUT INSTITUTIONS--THE CHINA PUZZLE.

Published in:

Journal of Corporate Law Studies, 2013, v. 13, n. 1, p. 151, doi. 10.5235/14735970.13.1.151

By:

DING CHEN

Publication type:

Article

Can Long-Only Investors Use Momentum to Beat the US Treasury Market?

Published in:

Financial Analysts Journal, 2015, v. 71, n. 5, p. 57, doi. 10.2469/faj.v71.n5.3

By:

Durham, J. Benson

Publication type:

Article

AN ESSAY FOR PROFESSOR ALAN BROMBERG: REMOVING THE TAINT FROM PAST ILLEGAL OFFERS AND SALES.

Published in:

2015

By:

Branson, Douglas M.

Publication type:

Essay

DEFINING "MATERIAL, NONPUBLIC": WHAT SHOULD CONSTITUTE ILLEGAL INSIDER INFORMATION?

Published in:

Fordham Journal of Corporate & Financial Law, 2016, v. 21, n. 2, p. 327

By:

Schipani, Cindy A.;
Seyhun, H. Nejat

Publication type:

Article

REGULATION OF FINANCIAL MARKETS.

Published in:

Discussions on Estonian Economic Policy, 2013, v. 21, n. 1, p. 26

By:

Hennies, Manfred O. E.;
Raudjärv, Matti

Publication type:

Article

SACRIFICING FUNCTIONALITY FOR TRANSPARENCY? THE REGULATION OF SWAP AGREEMENTS IN THE WAKE OF THE FINANCIAL CRISIS.

Published in:

Syracuse Law Review, 2012, v. 62, n. 3, p. 385

By:

Schuster, Reed T.

Publication type:

Article

Regulating Motivation: A New Perspective on the Volcker Rule.

Published in:

Texas Law Review, 2018, v. 96, n. 5, p. 1019

By:

Bubb, Ryan;
Kahan, Marcel

Publication type:

Article

Archangel Problems: The SEC and Corporate Liability.

Published in:

Texas Law Review, 2014, v. 92, n. 6, p. 1717

By:

Patton, Spencer P.

Publication type:

Article

What More Can Be Done to Deter Violations of the Federal Securities Laws?

Published in:

Texas Law Review, 2012, v. 90, n. 7, p. 1849

By:

Becker, David M.

Publication type:

Article

CLOs: Covered By Volcker Rule or Not?

Published in:: Strategic Finance, 2014, v. 95, n. 11, p. 24
Publication type:: Article

SEC Requirements for Posting of Margins Face Opposition.

Published in:: Strategic Finance, 2013, v. 94, n. 9, p. 21
Publication type:: Article

"Swap Dealer" Exemption Provides Temporary Relief.

Published in:: Strategic Finance, 2012, v. 94, n. 1, p. 23
Publication type:: Article

Applying the Volcker Rule's Covered Fund Definition Separately to Individual Asset Pools within Multi-Issuance Special-Purpose Vehicles.

Published in:

Journal of Structured Finance, 2015, v. 20, n. 4, p. 41, doi. 10.3905/jsf.2015.20.4.041

By:

MELNICK, NOAH;
FORBES-COCKELL, CAIRD;
MIDDLETON, MARK;
SCHILLACI, JACQUES

Publication type:

Article

INSIDER TRADING VIA THE CORPORATION.

Published in:

University of Pennsylvania Law Review, 2014, v. 162, n. 4, p. 801

By:

FRIED, JESSE M.

Publication type:

Article

LA REFORMA DE LA LEY DEL MERCADO DE VALORES. MODIFICACIÓN SUSTANCIAL DEL SISTEMA DE COMPENSACIÓN, LIQUIDACIÓN Y REGISTRO DE VALORES REPRESENTADOS MEDIANTE ANOTACIONES EN CUENTA.

Published in:

Actualidad Jurídica (1578-956X), 2012, n. 31, p. 70

By:

Tarrero Martos, Jaime

Publication type:

Article

Sample California Third-Party Legal Opinion for Venture Capital Financing Transactions.

Published in:: Business Lawyer, 2014, v. 70, n. 1, p. 177
Publication type:: Article

The Securities Black Market: Dark Pool Trading and the Need for a More Expansive Regulation ATS-N.

Published in:

Vanderbilt Law Review, 2017, v. 70, n. 1, p. 311

By:

Baxter, Brian P.

Publication type:

Article

Editorial.

Published in:

Journal of Securities Operations & Custody, 2015, v. 7, n. 4, p. 276, doi. 10.69554/ttxg4758

By:

Moody, Daryn

Publication type:

Article

The Anti-Fraud Provisions of the North Carolina Securities Act.

Published in:

Campbell Law Review, 2013, v. 35, n. 2, p. 209

By:

BRINSON, CLIFTON L.

Publication type:

Article

EXCHANGES, LISTLESS?: THE DISINTERMEDIATION OF THE LISTING FUNCTION.

Published in:

Wake Forest Law Review, 2015, v. 50, n. 3, p. 579

By:

Dombalagian, Onnig H.

Publication type:

Article

The Diversity of Financial Instruments Traded on the Stock Exchange.

Published in:

Finance: Challenges of the Future, 2015, n. 17, p. 122

By:

BELCIC-ŞTEFAN, Iulia-Oana

Publication type:

Article

An Empirical Analysis of Legal Insider Trading in The Netherlands.

Published in:

De Economist (0013-063X), 2014, v. 162, n. 1, p. 71, doi. 10.1007/s10645-013-9222-4

By:

Degryse, Hans;
Jong, Frank;
Lefebvre, Jérémie

Publication type:

Article

THE NEXT BRITISH INVASION IS SECURITIES CROWDFUNDING: HOW ISSUING NON-REGISTERED SECURITIES THROUGH THE CROWD CAN SUCCEED IN THE UNITED STATES.

Published in:

University of Colorado Law Review, 2015, v. 86, n. 2, p. 661

By:

STEINHOFF, ROBERT H.

Publication type:

Article

Comments: Creating a Future Economic Crisis: Political Failure and the Loopholes of the Volcker Rule.

Published in:

Oregon Law Review, 2012, v. 90, n. 5, p. 1339

By:

Gary, Alison K.

Publication type:

Article

CAN'T SEE THE FOREST FOR THE TREES: WHERE DOES A PURCHASE OR SALE OF SECURITIES OCCUR?

Published in:

American University Business Law Review, 2012, v. 2, n. 1, p. 153

By:

CALFEE, CHRISTOPHER

Publication type:

Article

The European Central Bank and Its Role in the New European System of Banking Supervision--Part I.

Published in:

Banking Law Journal, 2017, v. 134, n. 1, p. 38

By:

Dinov, Stanyo Neykov

Publication type:

Article

Market Abuse Regulation: Impact on U.S. Public Companies--Part I.

Published in:

Banking Law Journal, 2017, v. 134, n. 1, p. 26

By:

Panasar, Raj S.;
Dalvi, Aseet Vasudev;
Martin, Jackson;
Silverman, Leslie N.;
Flow, Sandra L.

Publication type:

Article

REGULATING CHANNEL CHECKS: CLARIFYING THE LEGALITY OF SUPPLY-CHAIN RESEARCH.

Published in:

Brooklyn Journal of Corporate, Financial & Commercial Law, 2014, v. 8, n. 2, p. 470

By:

Doherty, Marron C.

Publication type:

Article

THE NEW MARKET MANIPULATION.

Published in:

Emory Law Journal, 2017, v. 66, n. 6, p. 1253

By:

Lin, Tom C. W.

Publication type:

Article

HOW TO PREVENT FUTURE FLASH CRASHES AND RESTORE THE ORDINARY INVESTORS' CONFIDENCE IN THE FINANCIAL MARKET: THE IMPLEMENTATION OF CIRCUIT BREAKERS AND SPEED LIMITS TO HELP ENFORCE THE MARKET ACCESS RULE.

Published in:

Journal on Telecommunications & High Technology Law, 2014, v. 12, n. 1, p. 265

By:

RYDER, STEPHANIE

Publication type:

Article

INSIDER TRADING IN COMMODITIES MARKETS.

Published in:

Virginia Law Review, 2016, v. 102, n. 2, p. 447

By:

Verstein, Andrew

Publication type:

Article

Chinese New Rules for Asset Loss Deductions: Implications for Financial Derivatives.

Published in:

Journal of Taxation of Financial Products, 2012, v. 10, n. 2, p. 13

By:

Yang Yang

Publication type:

Article