Tag Archives: Securities regulation

Unclear Words, Clear Intent: Tenth Circuit Revives Extraterritorial Application of Federal Securities Laws

by Kwon-Yong Jin — Monday, Feb. 25, 2019

Recently, in SEC v. Scoville, the U.S. Court of Appeals for the Tenth Circuit held that the Dodd-Frank Act authorized extraterritorial enforcement of federal securities laws’ antifraud provisions by the government. This case is particularly notable in that it is the first circuit court case to clarify the ambiguous relationship between the Supreme Court’s rejection […]

A Regulatory Framework for Exchange-Traded Funds, by Henry T.C. Hu & John D. Morley

by Guest Blogger — Wednesday, Apr. 4, 2018

The “exchange-traded fund” (ETF) is one of the key financial innovations of the modern era. Our article, A Regulatory Framework for Exchange-Traded Funds (forthcoming in Southern California Law Review, vol. 91, no. 5, 2018), is the first academic work to show the need for, or to offer a regulatory framework for ETFs. The economic significance […]