Current Events

Law Course: Securities Law & the Internet

Law Course: Advanced Securities Regulation

Course Current Events

"Advanced Securities Regulation"

Please note: Below are articles that I believe may be of interest. I make no claims, promises or guarantees about the accuracy, completeness or adequacy of the information contained in these articles. Further, their inclusion in my site does not, in any way, shape or form, imply my sponsorship, endorsement, or approval of their content. For more information, please read my general disclaimer.

(Sometimes Required)

January 17th

No Assignment

January 24th

No Assignment

But Discussed During Class:

	United States v. Stringer, CR 03-432-HA (D. Oregon Jan. 9, 2006) (court dismissed indictment charging conspiracy and securities fraud based on the government’s improper use of an SEC investigation for purposes of its criminal case and the improper concealment of its investigation from the defendants)
	United States v. Moses, 1:04-CR-508-CAP-JMF (N.D. Georgia August 31, 2005) (magistrate judge denied motion to suppress defendant’s SEC transcript and motion to dismiss a portion of the indictment, rejecting defendant’s claim of prosecutorial misconduct), adopted as opinion and order of the Court, October 12, 2005.

January 31st

LR-19981

Complaint

SEC v. Kamardin (fraudulent scheme to manipulate the prices of numerous stocks through the unauthorized use of other people’s online brokerage accounts)

February 7th

Section 12(k) of the Exchange Act authorizes the Commission to suspend trading in any security for a period of ten business days if, in its opinion, the public interest and the protection of investors so requires. The Commission has previously exercised this authority when investors are at risk because there is a lack of current and accurate information concerning a company’s securities.

CyberKey Solutions, Inc. Trading Suspension Release 33-55237 and Order (Trading Suspension FAQ)

Courtside Trading Suspension; Comanche Properties Trading Suspension

Wall Street Journal (February 3rd, 2005) (SEC Steps Up Efforts To Battle Stock Fraud)

New York Times (February 4th, 2005) (Preemptive Move: SEC Halts Trading in Two Stocks)

February 14th

Class cancelled due to inclement weather

February 28th

Aiding and Abetting Liability

LR-19994

Complaint

SEC v. Daniel Fongnien Chiang and Eva Yi-Fen Chen (unlawful insider trading by husband and wife in the securities of SINA)

Should the SEC Regulate Hedge Funds? WSJ Editorial (2/26/07) NY Times Editorial (11/30/07)

Hedge Funds Begin to Show Up on Regulators' Radar (Washington Post, 2/27/07)

March 14th

No Assignment

March 21st

No Assignment

April 4th

Financial Planners Association v. SEC (D.C. Cir. March 30, 2007)

April 11th

	The Pace of Pay Gaines: A Survey Overview (WSJ, April 9, 2007)
	Ten Ways to Restore Investor Confidence in Compensation (WSJ, April 9, 2007)
	CEO Compensation Scorecard (WSJ, April 9, 2007) (Full Survey)
	More Pieces, Still A Puzzle (NYT, April 8, 2007)
	Transparency Lost in the Fog (NYT, April 8, 2007)
	Final SEC Rule (Adopted December, 2007)

April 18th

No Assignment

April 24th

The Email Kid Takes on HMO's Corner Office (WSJ, April 24th, 2007) (Actual Email Exchange)

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