Author Archives: Harvard Law School Forum on Corporate Governance and Financial Regulation

Public Enforcement of Securities Laws: Preliminary Evidence

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Wednesday, November 21, 2007

I recently presented my new discussion paper with Mark Roe, Public Enforcement of Securities Laws: Preliminary Evidence, at the Conference on Empirical Legal Studies at the New York University School of Law. The paper develops a measure of securities-enforcement intensity and examines financial outcomes worldwide in light of enforcement activity. The abstract of the paper […]

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Programmed Stock Trading Plans Eyed

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Tuesday, November 20, 2007

Editor’s Note: This post comes to us from Jonathan Hayter of the National Law Journal. The National Law Journal recently published Programmed Stock Trading Plans Eyed, which highlights recent efforts by corporate boards to ensure that executives’ stock-trading plans meet the requirements of Rule 10b5-1. That Rule permits firms to trade the company’s stock for […]

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The Corporate Bar and Being a Director: A Dialogue with Vice Chancellor Strine and Marty Lipton

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Monday, November 19, 2007

Editor’s Note: This post comes to us from John L. Reed of Edwards Angell Palmer & Dodge. John has previously posted here on his 2006 Corporate Governance Litigation Review. On November 27, in Boston, Massachusetts, two corporate law icons–Delaware Vice Chancellor Leo E. Strine, Jr., and Wachtell Lipton Rosen & Katz partner Marty Lipton–will present […]

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Posted in Financial Regulation, Securities Regulation, Speeches & Testimony | Tagged | 1 Comment

More On Loss Causation and Securities Class Actions

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Friday, November 16, 2007

In an earlier post, I discussed my recent discussion paper on loss causation in Rule 10b-5 actions. (The paper is coming out in the November issue of The Business Lawyer.) One of the issues discussed in the paper is the “true financial condition” theory of loss causation. According to this theory (which we reject), if a […]

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CEO Centrality

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Thursday, November 15, 2007

The Harvard Law School Program on Corporate Governance just issued my discussion paper, CEO Centrality, co-authored with Martijn Cremers and Urs Peyer. Our abstract describes the paper as follows: We investigate the relationship between CEO centrality – the relative importance of the CEO within the top executive team in terms of ability, contribution, or power […]

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Corporate Social Policy and the SEC

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Wednesday, November 14, 2007

Along with Laura J. Shaffer, Director of Shareholder Activities for the Nathan Cummings Foundation, I have prepared an op-ed on shareholder proposals requesting improved disclosure on major corporate social policy issues, including environmental risk and health care costs. The op-ed runs as follows: Last year, nearly 40% of the shares of Standard Pacific Corporation, one […]

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Posted in Corporate Social Responsibility, Op-Eds & Opinions, Practitioner Publications, Securities Regulation | Tagged , , | Comments Off on Corporate Social Policy and the SEC

Corporate Integrity and Corporate Performance

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Tuesday, November 13, 2007

On Monday, November 6, Ben Heineman, Jr., former General Counsel of GE, presented at the Law School’s Law and Finance Seminar. Heineman offered his insights on the role that general counsels play in corporate affairs, emphasizing how they can help ensure that the firm is managed to achieve both high performance and high integrity. The […]

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Posted in Corporate Social Responsibility, Op-Eds & Opinions | Tagged | 1 Comment

The Future of Securities Regulation

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Monday, November 12, 2007

Brian Cartwright, General Counsel of the SEC and a 1980 graduate of Harvard Law School, recently delivered an address entitled The Future of Securities Litigation. The talk offers a fascinating perspective on how we can expect securities markets–and the SEC’s regulatory approach–to change in the coming years. The speech emphasizes what Brian calls “deretailization,” or […]

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Michael Jensen’s and Werner Erhard’s Talk on Integrity

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Friday, November 9, 2007

Last week, in Harvard Law School’s Seminar in Law, Economics, and Organization, Professor Michael Jensen and Werner Erhard presented a paper on integrity that they co-authored with Steve Zaffron. The slides used in their talk are available here. The abstract of their paper, entitled Integrity: A Positive Model that Incorporates the Normative Phenomena of Morality, Ethics, […]

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Are Regulators and Stock Exchanges Irresponsible?

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Thursday, November 8, 2007

Editor’s Note: This post comes to us from Shann Turnbull, Principal of the International Institute for Self-Governance. I have recently released a new paper, entitled Correcting the Failures in Corporate Governance Reforms, in which I argue that constructive governance reform will require regulators to recognize and address the shortcomings of existing reforms. I invite readers […]

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