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

CFTC’s Progress on Wall Street Reform

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Monday, March 4, 2013

The New Era of Swaps Market Reform This hearing is occurring at an historic time in the markets. The CFTC now oversees the derivatives marketplace — across both futures and swaps. The marketplace is increasingly shifting to implementation of the common-sense rules of the road for the swaps market that Congress included in the Dodd-Frank […]

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Target CEO Retention in Acquisitions Involving Private Equity Acquirers

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Monday, March 4, 2013

In the paper, Does Target CEO Retention in Acquisitions Involving Private Equity Acquirers Harm Target Shareholders?, which was recently made publicly available on SSRN, we examine whether target shareholders are affected adversely when the target CEO is retained by the acquirer and if the effect differs when the acquisition involves a private equity firm. We […]

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EU Financial Transaction Tax Proposed for 11 Member States

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Sunday, March 3, 2013

The European Union Financial Transaction Tax (EU FTT) is back on the agenda. While only 11 EU member states will now apply the EU FTT, the effect is likely to be felt more widely. The Directive on the EU FTT that was originally proposed in September 2011 would have covered all 27 EU member states. […]

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Addressing Market Instability through Informed and Smart Regulation

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Saturday, March 2, 2013

As many of you know, I am now in my second term as an SEC Commissioner and this is my fifth time participating at SEC Speaks. During that time, I have served with three different SEC Chairmen, and a fourth is now in the works. It has been, and continues to be, a great privilege […]

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Supreme Court on Statute of Limitations for SEC Enforcement Actions

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Friday, March 1, 2013

Gabelli v. Sec. & Exch. Comm’n, No. 11-1274 (U.S. Feb. 27, 2013) In a unanimous opinion authored by Chief Justice Roberts, the U.S. Supreme Court held that the five-year limitations period that governs SEC enforcement actions begins to run when the alleged fraud is complete. The Court reversed the Second Circuit on the issue, which […]

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Supreme Court Rules on Proof of Materiality for Class Certification

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Friday, March 1, 2013

On February 27, 2013, in a 6-3 decision, the Supreme Court of the United States held in Amgen Inc. v. Connecticut Retirement Plans and Trust Funds that a securities fraud plaintiff alleging fraud on the market need not establish the materiality of an alleged fraudulent statement in order to obtain class certification. Justice Ginsburg delivered […]

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What Motivates Minority Acquisitions?

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Friday, March 1, 2013

What motivates minority acquisitions? We study the trade-off between minority acquisitions, involving less than 50% of the target, and majority acquisitions in the forthcoming Review of Financial Studies paper, “What Motivates Minority Acquisitions? The Trade-Offs between a Partial Equity Stake and Complete Integration.” Minority acquisitions have been shown to facilitate cooperation between two independent firms. […]

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Prominent Role for Leverage Ratio in Capital Framework

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Thursday, February 28, 2013

Introduction As the banking industry emerges from the 2008 financial crisis, there is no question that it caused great strain on banks of all sizes. Hundreds of community banks failed, and the largest institutions were unable to continue operating without massive, unprecedented government intervention. This region in particular experienced the full impact of the crisis […]

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Regulation FD in the Age of Facebook and Twitter

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Thursday, February 28, 2013

The Staff of the Securities and Exchange Commission has announced its intention to recommend to the Commission that enforcement proceedings alleging a violation of Regulation FD be instituted against Netflix, Inc. and its CEO, Reed Hastings, because of a posting on Mr. Hastings’ personal Facebook page. Mr. Hastings’ webpage had more than 200,000 followers, including […]

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Carrots & Sticks: How VCs Induce Entrepreneurial Teams to Sell Startups

By Harvard Law School Forum on Corporate Governance and Financial Regulation | Published Wednesday, February 27, 2013

Venture capitalists (VCs) play a significant role in the financing of high-risk, technology-based business ventures. VC exits usually take one of three forms: an initial public offering (IPO) of a portfolio company’s shares, followed by the sale of the VC’s shares into the public market; a “trade sale” of the company to another firm; or […]

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