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The Sarbanes-Oxley Act of 2002: a Regulatory Hodge-Podge Arising from Highly Visible Financial Fraud
Joan MacLeod Heminway
This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statutes, and the regulators and market participants involved. In addition to a general summary of the topic, this volume provides detailed explanations of the process for registering securities, exemptions from registration, secondary distributions, and the underwriting process.
Scholars and students of financial law, banking and regulatory law will find this book a useful resource, as will attorneys, compliance professionals, risk-mitigation professionals and corporate leaders.
Law library patrons can access this chapter through the link.
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U.S. Securities Crowdfunding
Joan MacLeod Heminway
In May 2016, a U.S. federal registration exemption for crowdfunded securities offerings came into existence (under the earlier adopted CROWDFUND Act) as a means of helping startups and small businesses obtain funding. In theory, this exemptive regime was an attempt to fill gaps in U.S. securities law that handicapped entrepreneurs and their promoters from obtaining equity, debt, and other financing through the sale of financial investment instruments using digital offering platforms. The use of the internet for business finance is particularly important to U.S. entrepreneurs who may not have access to traditional, institutionalized sources of funding because of their own limited financial and economic positions.
As the fifth year of effectiveness of the CROWDFUND Act progresses, observations can be made about the role securities crowdfunding has played and may play in sustaining and improving prospects for those limited means entrepreneurs. A preliminary examination indicates that, under current legal rules, securities crowdfunding is a promising, yet less-than-optimal, financing vehicle for these entrepreneurs. Nevertheless, there are ways in which U.S. securities crowdfunding may be used or modified to play a more positive role in promoting economic inclusion through capital raising for the innovative ventures of financially disadvantaged entrepreneurs.
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Ethical Considerations: Corporate Social Responsibility and the 21st Century
Joan MacLeod Heminway and Irma S. Russell
This chapter provides perspectives on the balance of professional and personal ethical considerations that lawyers must achieve to deal effectively and ethically with the conundrums they face in their representation of business clients. This task requires consideration of both issues that some might regard as isolated (or at least mundane and local) and, at the same time, issues that are global and existential—critical to the survival of our species. Although the focus is on the role of lawyers, the challenges con- fronted by lawyers and the rules governing their conduct also inform the ethical responsibilities and role of nonlawyers.
The chapter is designed to illuminate both the opportunities and challenges for lawyers practicing in this complex space. For clients committed to CSR, a lawyer’s skill and experience in examining the structure, governance, operations, and other activities of business firms and identifying influences on a business firm’s legal compliance and risk management can have a profoundly beneficial effect in meeting the goals of CSR. Lawyers are a formidable force, and a potential guiding light, in navigating the legal and ethical constructs that tie businesses, through CSR, to meaningful social and environmental change at a critical juncture in world history.
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Representing the Organizational Client on Environmental Matters
Joan MacLeod Heminway and Irma S. Russell
Law library patrons can access this title through the link.
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Lon Fuller: A Progenitor of the Pedagogy of Skills?
Becky L. Jacobs
Law library patrons can access this chapter through the link.
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Advocating for the Law Librarian Profession
Paul McLaughlin
Though law librarians have been acknowledged as instrumental in legal education and law practice, questions about the need for law librarians and law librarians’ ability to adapt to new demands of conducting and teaching legal research have been raised. i Law librarianship also faces debates as to whether it should be considered a distinct profession by those who do not see law librarians as having specialized qualifications that set them apart from other librarians. ii This chapter will discuss the need for law librarians to advocate for their professions so they can show how they are needed in legal education and by society and they are distinct from other librarians as legal professionals to ensure that they can effectively advocate for themselves and their patrons on a variety of issues.
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Introducing Homeschooling Students to the Librarian Profession and Personality types
Paul McLaughlin
The librarian profession needs diversity in its membership to provide service to the variety of patrons who visit libraries and to have the array of skills needed for a library to succeed. Jaeger and Franklin (2017, 23–24) have encouraged the use of inclusive services and outreach programs that take advantage of the diversity inherent in the United States’ population to stir interest in the librarianship profession. Homeschooling students come from a variety of cultural and social backgrounds and rely on public libraries to gain access to curriculum materials, educational programming, and technology. Librarians can use outreach programs to introduce homeschoolers to the variety of librarian positions available, the personality types found in librarianship, and to encourage homeschoolers to enter the library profession. this essay will describe personality types that may exist in librarianship and the need for librarians to know about them; it will also provide an example of an outreach workshop that is designed to stress the importance of having this knowledge for professional development.
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Antitrust Enforcement and Market Power in the Digital Age: Is Your Digital Assistant Devious?
Maurice Stucke and Ariel Ezrachi
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