Amending Section 36(b) of the 1940 Act: Creating Too High of a Standard?
1. What is Section 36(b)? Mutual funds have long been an important vehicle for individuals…
Browsing: Securities Regulation
SEC – Don’t Throw Away Your Shot! A Renewed Call for a Uniform Fiduciary Standard to Protect Individual Investors
On November 10, 2016 Fordham University’s School of Law’s Corporate Law Center, in partnership with…
Symposium Panel: Are We Ready for the Next Financial Crisis
On October 30, 2015, Richard Squire of Fordham University School of Law, Eric Grossman…
S.E.C. Tells High Frequency Trading Firm Athena “Not So Fast!”
On Oct 16, 2014 the Securities and Exchange Commission (“SEC”) settled with Athena Capital Research…
Alibaba and the Minimal Impact of the Largest IPO Ever
On Friday, September 19, people from Beijing to New York could be seen celebrating…
Second Circuit to Shed Light on Personal Benefit Requirement for Tippee Liability
Anthony Chiasson’s infamous insider trading case has shed much light on the inequity underlying the…
Escaping Secondary Liability: the Ever-Increasing Scope of SLUSA
Just imagine: in a split second, your hard-earned lifesavings, and the financial security that accompanied…
Bitcoiners in the Court Room Part II: Civil Litigation and Developments
“Gold 2.0” is what highly visible venture capitalist Tyler Winklevoss has newly dubbed Bitcoin. While…
Swap Transaction Recordkeeping: Information Hoarding
The Dodd-Frank Wall Street Reform and Consumer Protection Act has many new or updated rules…
New Accredited Crowdfunding Platforms
The new registration exemption in connection with Rule 506 offerings and crowdfunding portals significantly expand…