Tag Archives: securities law

Tipping the Scales Against Insider Trading: Adopting a Presumption of Personal Benefit to Clarify Dirks

A cliché that maintains its usefulness is that “bad cases make bad law.” It covers a variety of situations, all capturing the essential truth that peculiar fact patterns run a heightened risk of churning out ill advised precedent. Dirks v. SEC … Continue reading

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Keep Securities Reform Moving: Eliminate the SEC’s Integration Doctrine

Small businesses are regarded as the engine that drives economic growth. Success generally requires that early stage companies be fed with sufficient infusions of capital often. It is therefore imperative that a national policy of economic growth provide adequate capital-formation … Continue reading

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KNOWLEDGE IS SALVATION: INFORMING INVESTORS BY REGULATING DISCLOSURES TO SAFEGUARD BEST EXECUTION

Command and control of information—knowledge—sustain the powerful over the ill informed.  In the securities industry, informational disparities and advantages translate into massive gains and catastrophic losses. Today, the world of high-frequency trading has emerged from the shadows and sparked a … Continue reading

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