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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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SEC

A Federal Fiduciary Standard Under the Investment Advisers Act of 1940: A Refinement for the Protection of Private Funds

December 6, 2016 By ehansen

Download PDF Tyler Kirk† Introductory Note The appropriate role of the fiduciary standard in the financial industry has garnered a lot of attention of late. Lawmakers, investors, and industry are all adding their voices to the chorus that will eventually become the … [Read more...] about A Federal Fiduciary Standard Under the Investment Advisers Act of 1940: A Refinement for the Protection of Private Funds

Filed Under: Home Tagged With: Advisers Act, Fiduciary Duty, Hedge Funds, Private Funds, SEC

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

King Henry II and the Global Financial Crisis

March 1, 2016 By ehansen

Download PDF James W. Giddens† I.          Introduction “Will no one rid me of this turbulent priest!” lamented King Henry II, which to his purported surprise led four knights to murder Thomas Becket, the Archbishop of Canterbury.[1] To the knights, the King’s wishes … [Read more...] about King Henry II and the Global Financial Crisis

Filed Under: Corporate Governance, Featured, Home, U.S. Business Law, Volume 6 Tagged With: 2008 financial crisis, DOJ, executive liability, King Henry II, MF Global, Park liability, regulatory reform, SEC

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

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