F. Hodge O'Neal Corporate and Securities Law Symposium

Reflections on Dual Regulation of Securities: A Case for Reallocation of Regulatory Responsibilities

Author: Manning Gilbert Warren III (University of Louisville)

  • Reflections on Dual Regulation of Securities: A Case for Reallocation of Regulatory Responsibilities

    F. Hodge O'Neal Corporate and Securities Law Symposium

    Reflections on Dual Regulation of Securities: A Case for Reallocation of Regulatory Responsibilities

    Author:

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Abstract

I address the scope of state regulatory power that remains given the National Securities Markets Improvement Act of 1996's dictates and prerogatives. I then suggest for consideration significant alterations to the regulatory role traditionally performed by the states.

Keywords: Exclusive & concurrent legislative powers, Blue sky laws, Preemption (Legislative power), Securities law, National Securities Markets Improvement Act of 1996

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Published on
2000-01-01

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