Credit default swap portfolio securities lending program, inability to access capital markets, credit rating downgrade

The Article examines the regulation of underwriting compensation by the Financial Industry Regulation Authority. Although the regulation dates back almost 50 years and impacts virtually every U.S. public offering of securities, its propriety has received zero attention from legal scholars. The...

The Article examines the investor protection/capital formation balance with respect to private placements of securities. Specifically, it details various rule changes that were implemented over the years to enhance capital formation and other events that have occurred over the same timeframe...

The article provides a brief overview of Section 12(g) of the Securities Exchange Act of 1934 and argues that the SEC should adopt a new rule exempting from its application private companies with no active secondary trading in their securities, regardless if they have 500 or more shareholders

The article provides a brief history of hedge fund adviser registration requirements under the Investment Advisers Act, an overview of the hedge fund adviser registration provision included in the Dodd-Frank Act, and a discussion of such provision's impact on private equity and venture capital funds