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Category Archives: Securities Law

Treepedia maps trees in cities throughout the world

Treepedia – Exploring the Green Canopy in cities around the world – Using the power of MIT digital research applications and Google Street view users may choose a city from the list included to date, and search by specific location(s) to identify the differences in green space within a city and in comparison to other cities. The site has create a “Green View Index” to assist citizens, urban planners, environmental groups and developers better understand the impact of increasingly green spaces in cities.

“The real-time city is real. As layers of networks and digital information blanket urban space, new approaches to the study of the built environment are emerging. The way we describe and understand cities is being radically transformed—as are the tools we use to design them. The mission of the Senseable City Laboratory —a research initiative at the Massachusetts Institute of Technology — is to anticipate these changes and study them from a critical point of view.”

Too Big to Disclose: Firm Size and Materiality Blindspots in Securities Regulation

Georgiev, George S., Too Big to Disclose: Firm Size and Materiality Blindspots in Securities Regulation (December 13, 2016). UCLA Law Review, Vol. 64, 2017. Available at SSRN: https://ssrn.com/abstract=2894538 “This Article argues that the securities disclosure regime contains previously unexamined structural deficiencies, which pertain to the information provided by the largest public companies. These deficiencies arise… Continue Reading

Disclosure 2.0: Can Technology Solve Overload, Complexity, and Other Information Failures?

Gerding, Erik F., Disclosure 2.0: Can Technology Solve Overload, Complexity, and Other Information Failures? (August 1, 2016). Tulane Law Review, Vol. 90, No. 5, 2016. Available for download at SSRN: https://ssrn.com/abstract=2889598 “In recent years, securities law scholars have either renewed an old attack on mandatory issuer disclosure or questioned the effectiveness of securities disclosure in… Continue Reading

GAO Reports – Air Traffic Control, Financial Audits of Federal Reserve, CFPB, FHFA, SEC, Preventing llicit Drug Use

Air Traffic Control: Experts’ and Stakeholders’ Views on Key Issues to Consider in a Potential Restructuring, GAO-17-131: Published: Oct 13, 2016. Publicly Released: Nov 15, 2016. Corporate Shareholder Meetings: Proxy Advisory Firms’ Role in Voting and Corporate Governance Practices, GAO-17-47: Published: Nov 15, 2016. Publicly Released: Nov 15, 2016. Federal Reserve: Additional Actions Could Help… Continue Reading

GAO Reports – Patriot Modernization, SEC Conflict Minerals Rule

Patriot Modernization: Oversight Mechanism Needed to Track Progress and Provide Accountability, GAO-16-488: Published: Aug 25, 2016. Publicly Released: Aug 25, 2016. SEC Conflict Minerals Rule: Companies Face Continuing Challenges in Determining Whether Their Conflict Minerals Benefit Armed Groups, GAO-16-805: Published: Aug 25, 2016. Publicly Released: Aug 25, 2016. Continue Reading

GAO Reports – Army Patriot Modernization, SEC Conflict Minerals Rule

Patriot Modernization: Oversight Mechanism Needed to Track Progress and Provide Accountability, GAO-16-488: Published: Aug 25, 2016. Publicly Released: Aug 25, 2016: “While the currently fielded version of the Army’s Patriot surface-to-air missile system is an improvement over prior versions, the Army currently plans to spend about $2.9 billion between fiscal years 2013 and 2021 on… Continue Reading

GAO Reports – Defense Health Care, Indian Health Service, SEC InfoSec, Missile Defense, Public Transit, Veterans Justice, F-35 Joint Strike Fighter

Defense Health Care: DOD Is Meeting Most Mental Health Care Access Standards, but It Needs a Standard for Follow-up Appointments, GAO-16-416: Published: Apr 28, 2016. Publicly Released: Apr 28, 2016. Indian Health Service: Actions Needed to Improve Oversight of Patient Wait Times, GAO-16-333: Published: Mar 29, 2016. Publicly Released: Apr 28, 2016. Information Security: Opportunities… Continue Reading

High Frequency Trading: Overview of Recent Developments

CRS report via FAS – High Frequency Trading: Overview of Recent Developments, Rena S. Miller, Specialist in Financial Economics; Gary Shorter, Specialist in Financial Economics, April 4, 2016. “High-frequency trading(HFT) generally refers to trading in financial instruments, such as securities and derivatives, transacted through supercomputers executing trades within microseconds or milliseconds (or, in the technical… Continue Reading

The Flash Crash: A New Deconstruction

Aldrich, Eric M. and Grundfest, Joseph and Laughlin, Gregory, The Flash Crash: A New Deconstruction (January 25, 2016). Available at SSRN: http://ssrn.com/abstract=2721922 or http://dx.doi.org/10.2139/ssrn.2721922 “On May 6, 2010, in the span of a mere four and half minutes, the Dow Jones Industrial Average lost approximately 1,000 points. In the following fifteen minutes it recovered essentially… Continue Reading

U.S. Uncleared Swap Margin, Capital and Segregation Rules

Presentation by Davis Polk & Wardwell LLC – snipped – Introduction – U.S. prudential regulators (the OCC , Federal Reserve, FDIC, FCA and FHFA) and the CFTC have finalized uncleared swap margin , capital and segregation requirements (the “PR rules,” and “ CFTC rules,” respectively, and the “final rules,” collectively [note – The CFTC has… Continue Reading

ABA Journal – Will those who led the financial system into crisis ever face charges?

Terry Carter’s long read also appears in the February 1, 2016 issue of the ABA Journal – “…Last September, the department in effect admitted that it had been wrong all along when it announced a new policy prioritizing prosecution of individuals in corporations who might have engaged in criminal acts, and requiring the companies to… Continue Reading

SEC publishes 2016 priorities for Office of Compliance Inspections and Examinations

“This document identifies selected 2016 examination priorities of the Office of Compliance Inspections and Examinations (“OCIE,” “we,” or “our”) of the Securities and Exchange Commission (“SEC” or “Commission”). In general, th priorities reflect certain practices and products that OCIE perceives to present potentially heightened risk to investors and/or the integrity of the U.S. capital markets.… Continue Reading