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Harvard Business Law Review (HBLR)

The Harvard Business Law Review (HBLR) aims to be the premier journal covering the laws of business organization and capital markets. HBLR will publish articles from professors, practitioners, and policymakers on corporate law and governance, securities and capital markets law, financial regulation and financial institutions, law and finance, financial distress and bankruptcy, and related subjects.

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Securities

Bitcoin and Virtual Currencies: Welcome to Your Regulator

December 3, 2016 By ehansen

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

Filed Under: Derivatives Regulation, Featured, Financial Regulation, Home, Securities, U.S. Business Law, Volume 7 Tagged With: Bitcoin, Bitfinex, CEA, CFTC, Commodity, Commodity Exchange Act, Derivatives, Dodd-Frank, Financial Regulation, SEC, Spot Transaction

It Ain’t Broke: The Case For Continued SEC Regulation of P2P Lending

August 9, 2016 By ehansen

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

Filed Under: Featured, Financial Regulation, Home, Securities, U.S. Business Law, Volume 6 Tagged With: CFPB, ECOA, Financial Regulation, FTC, GAO, Lending, Loan Platform, P2P, Rule 506, SEC, TILA

The Role of Section 20(b) in Securities Litigation

December 9, 2015 By ehansen

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

Filed Under: Featured, Financial Regulation, Home, Securities, U.S. Business Law, Volume 6 Tagged With: 1934 Act, Insider Trading, Janus, Material Misstatement or Omission, SEC, Section 10(b), Section 20(a), Section 20(b), Securities Exchange Commission, Securities Litigation, Tippee Liability

New Margin Requirements for Uncleared Swaps

August 19, 2015 By

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

Filed Under: Energy, Featured, Home, Securities, U.S. Business Law, Volume 5 Tagged With: Basel, BCBS, CFTC, Collateral, Custodial Agreements, Dodd-Frank, Extraterritoriality, Margin, Netting, Prudential Regulators, Swaps

The Sarbanes Oxley Privilege For Public Company Accounting Oversight Board Materials: Its Implications For SEC Enforcement Proceedings

June 15, 2015 By

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

Filed Under: Corporate Governance, Featured, Home, Securities, U.S. Business Law, Volume 5 Tagged With: Enforcement, Goldstone, PCAOB, Privilege, Sarbanes-Oxley, SEC, SOX

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