In this article, Tanner Dowdy explains the risks inherent in commercial banking, discusses how bank charters and deposit insurance mitigate those risks, and introduces the concept of full reserve banking through Special Purpose Depository Institutions.
In this article, Tanner Dowdy argues that any change in the securities laws to accommodate secondary trading for “unicorns” should be met with a selective disclosure rule.
Notes and Comments Editor Tanner Dowdy examines the SEC's first Reg BI enforcement action to provide guidance to Broker Dealers.
Author: Dan Stroh, Associate Member, University of Cincinnati Law Review Charles Ponzi did not intend to have his name become synonymous with financial fraud; he intended to get rich quickly. While he was not the first to perpetrate such a scheme, Ponzi’s name is attached to a type of fraud in which a fund pays... Continue Reading →
Author: Dan Stroh, Associate Member, University of Cincinnati Law Review The phrase “insider trading” does not have a positive connotation. Despite the lack of an express provision prohibiting trading on insider information, insider trading has long been prosecuted under anti-fraud provisions found in securities law regulations.[1] A recent focus by the U.S. Attorney for the... Continue Reading →
Author: Dan Stroh, Associate Member, University of Cincinnati Law Review On October 6, 2014, the Supreme Court denied a writ of certiorari in Moores v. Hildes, which involved the interpretation of § 11 of the Securities Act of 1933.[1] Section 11 protects investors by requiring disclosures regarding the purchase of securities and imposing liability on... Continue Reading →
Author: Collin L. Ryan, Associate Member, University of Cincinnati Law Review George Costanza once imparted to Jerry Seinfeld the infamous advice, “It’s not a lie, if you believe it.”[1] Although this advice is entertaining, the Supreme Court granted certiorari last March to resolve a circuit split regarding the extent to which Mr. Costanza’s advice applies... Continue Reading →
