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

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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Authors

Manning Gilbert Warren III (University of Louisville)

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