Current Issue
Circuit

Defining the Whistleblower Under Dodd-Frank: Who Decides?

12 Aug 2014 07:15pm Mystica M. Alexander 

The SEC and the Judiciary are at odds over whether an individual must report potential securities law violations directly to the SEC in order to qualify as a whistleblower under the Dodd-Frank Act. This Essay examines the statutory language at the heart of the conflict, the SEC regulation that potentially clarifies the scope of whistleblower protection, and the SEC's authority to interpret the Act. Ultimately, the author concludes that the SEC's expansive approach is more in line with the objectives of securities law enforcement.

The New "Human Equity" Transactions

26 Jun 2014 09:57am Shu-Yi Oei & Diane M. Ring 

Are we entering an era where investors can acquire an equity stake in an individual?  A new family of marketplace transactions provides individuals with financing for business, entrepreneurship, education, or diversification purposes in return for the individual's promise to pay a percentage of her income for a period of years. This Essay briefly discusses the legal, regulatory, and public policy issues these new transactions raise, and proposes an analytical approach to grappling with such issues.    

To Unseal or Not to Unseal: The Judiciary’s Role in Preventing Transparency in Electronic Surveillance Applications and Orders

03 Jun 2014 10:10pm Brian L. Owsley 

This essay addresses the issue of transparency in the judiciary regarding the sealing of applications for electronic surveillance.  Specifically, it concerns the experiences of a federal magistrate who attempted to unseal a number of surveillance applications and orders.    

 



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