Download PDF Matthew Kluchenek† I. Introduction Among all the U.S. regulators interested in regulating Bitcoin and virtual currencies, the Commodity Futures Trading Commission (CFTC) is determined to be at the forefront. Since the announcement by CFTC … [Read more...] about Bitcoin and Virtual Currencies: Welcome to Your Regulator
Securities
It Ain’t Broke: The Case For Continued SEC Regulation of P2P Lending
Download PDF Benjamin Lo† Introductory Note In 2008, the Securities and Exchange Commission made waves by deciding to regulate the nascent peer-to-peer lending industry. Only two lending platforms survived the SEC’s entry into a previously lightly-regulated market. Under … [Read more...] about It Ain’t Broke: The Case For Continued SEC Regulation of P2P Lending
The Role of Section 20(b) in Securities Litigation
Download PDF William D. Roth* I. Introduction In May 2014, Securities Exchange Commission (SEC) Chair, Mary Jo White, announced that the SEC would pursue actions under Section 20(b) of the Securities Exchange Act of 1934, which broadly prohibits violating … [Read more...] about The Role of Section 20(b) in Securities Litigation
New Margin Requirements for Uncleared Swaps
Download PDF Craig Stein & Paul N. Watterson, Jr.* One of the fundamental changes that the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”)[1] made in the financial markets has been to force most over-the-counter swap transactions onto … [Read more...] about New Margin Requirements for Uncleared Swaps
The Sarbanes Oxley Privilege For Public Company Accounting Oversight Board Materials: Its Implications For SEC Enforcement Proceedings
Download PDF Andrew J. Morris* I. Introduction In 2002, a wave of high-profile accounting scandals led Congress to pass the Sarbanes-Oxley Act—“SOX.”[1] In SOX, Congress created the Public Company Accounting Oversight Board—the “PCAOB”—and charged it to oversee … [Read more...] about The Sarbanes Oxley Privilege For Public Company Accounting Oversight Board Materials: Its Implications For SEC Enforcement Proceedings