Search Faculty Publications

Search Faculty Publications

Allan Horwich

2014
  Newspaper Articles
  November 2014
1 Insider Trading and Regulatory Overreach in SAN FRANCISCO DAILY JOURNAL, 8 (Nov. 20, 2014).
  SSRN
  February 2014
2 The Mosaic Theory of Materiality—Does the Illusion Have a Future?.
2012
  Periodical Articles
  January 2012
3 An Inquiry into the Perception of Materiality as an Element of Scienter under Rule 10b-5 in 67 BUSINESS LAWYER 1 (2011).
2011
  SSRN
  April 2011
4 An Inquiry into the Perception of Materiality as an Element of Scienter Under SEC Rule 10b-5.
2010
  Periodical Articles
  July 2010
5 When the Corporate Luminary Becomes Seriously Ill: When is a Corporation Obligated to Disclose that Illness and Should the Securities and Exchange Commission Adopt a Rule Requiring Disclosure? in SECURITIES LAW REVIEW 2010 (2010).
  April 2010
6 Cleaning the Murky Safe Harbor for Forward-Looking Statements: An Inquiry into Whether Actual Knowledge of Falsity Precludes the Meaningful Cautionary Statement Defense in 35 JOURNAL OF CORPORATION LAW 519 (2010).
  SSRN
  January 2010
7 Cleaning the Murky Safe Harbor for Forward-Looking Statements: An Inquiry into Whether Actual Knowledge of Falsity Precludes the Meaningful Cautionary Statement Defense.
2009
  Periodical Articles
  October 2009
8 When the Corporate Luminary Becomes Seriously Ill: When is a Corporation Obligated to Disclose That Illness and Should the Securities and Exchange Commission Adopt a Rule Requiring Disclosure? in 5 NEW YORK UNIVERSITY JOURNAL OF LAW AND BUSINESS 827-871 (2009) reprinted in Securities Law Review 2010 (West Publishing) (Langevoort ed.)..
  January 2009
9 Role of Rule 10b5-1 Plans in Securities Litigation in SECURITIESLAW360 (January 12, 2009).
  SSRN
  January 2009
10 When the Corporate Luminary Becomes Seriously Ill: When is a Corporation Obligated to Disclose that Illness and Should the Securities and Exchange Commission Adopt a Rule Requiring Disclosure?.
2007
  Periodical Articles
  October 2007
11 The Origin, Application, Validity, and Potential Misuse of Rule 10b5-1 in 62 BUSINESS LAWYER 913 (2007).
  March 2007
12 Pleading Reform or Unconstitutional Encroachment? An Analysis of the Seventh Amendment Implications of the Private Securities Litigation Reform Act in 35 SECURITIES REGULATION LAW JOURNAL 1 (2007) (Co-authored by: Sean Siekkinen ).
  January 2007
13 The Federal Enforcement Framework Pertinent to the Energy Markets in ENERGY ANTITRUST NEWS 9-29 (Winter 2006).
2006
  Periodical Articles
  October 2006
14 Warnings to the Unwary: Multi-Jurisdictional Federal Enforcement of Manipulation and Deception in the Energy Markets After the Energy Policy Act of 2005 in 27 ENERGY LAW JOURNAL 363 (2006).
  May 2006
15 The Clinical Trial Research Participant as an Inside Trader: A Legal and Policy Analysis in 39 JOURNAL OF HEALTH LAW 77 (2006).
2004
  Periodical Articles
  September 2004
16 Is There a Breach in the Breakwater of the Statutory Safe Harbor for Forward-Looking Statements? [re Asher v. Baxter Int'l, 7th Cir.] in 8 WALL STREET LAWYER NO. 4 19 (September 2004).
  July 2004
17 New Form 8-K and Real-Time Disclosure in 37 REVIEW OF SECURITIES AND COMMODITIES REGULATION 109 (June 16, 2004).
  February 2004
18 Initial Ruminations on Insider Trading in the Mutual Fund Scandal in 7 WALL STREET LAWYER No. 7 at 1 (December 2003).
19 The Role and Responsibilities of Audit Committees in BANKING & FINANCIAL SERVICES POLICY REPORT no. 11, at 1 (November 2003).
20 A Primer on SEC Rule 10b-5-1: Affirmative Defenses for Insider Trading in 41 THE CORPORATE LAWYER (ISBA) no. 4, at 3 (November 2003) (Co-authored by: Andrew Klein).
21 Audit Committees (updated version December 2003).
2003
  Periodical Articles
  July 2003
22 Special Litigation Committees: Who the Members Are May Be More Important Than What the Committee Does in 7 WALL STREET LAWYER NO. 2 23 (July 2003).
  June 2003
23 Audit Committees.
  April 2003
24 SEC Update: More Sarbanes-Oxley Rules: Benefit Plan Blackouts and Financial Experts in 6 WALL STREET LAWYER NO. 10 23 (March 2003).
  January 2003
25 New Requirements for Disclosure of Financial Condition Under the Federal Securities Laws in 35 REVIEW OF SECURITIES & COMMODITIES REGULATION 243-253 (November 27, 2002).
2002
  Books and other Monographs
  September 2002
26 When Does Proper Accounting Treatment Amount to Securities Fraud? (Securities Enforcement and Litigation, American Conference Institute, September 2002).
  Periodical Articles
  December 2002
27 SEC Update: The Advance of Shareholder Democracy: Adopted and Impending Actions Enhancing Shareholder Knowledge and Voting Power in 6 WALL STREET LAWYER no. 6 at 18 (November 2002).
  November 2002
28 Section 11 of the Securities Act: The Cornerstone Needs Some Tuckpointing in 58 THE BUSINESS LAWYER 1-44 (November 2002).
  August 2002
29 Securities Laws and the Audit Committee in the Post-Enron World in 6 WALL STREET LAWYER NO. 2 p.7 (July, 2002).
  April 2002
30 Careful Pleading Can Avoid the Fatal Impact of the Securities Litigation Uniform Standards Act in 5 WALL STREET LAWYER 1 (March 2002).
  March 2002
31 SEC Update: The Unger Study: The Controversy over Regulation FD Continues in 5 WALL STREET LAWYER No. 9 p.13 (February 2002).
2001
  Newspaper Articles
  January 2001
32 Corporate Insiders Given a 'Break' Under New Rule: Rule 10b5-1 Has An Awareness Test and Offers Some Flexibility and Certainty for Trading in NATIONAL LAW JOURNAL, page B10 (January 22, 2001) .
  Periodical Articles
  September 2001
33 SEC Update; The Spotlight Shines on Analyst Conflicts of Interest in 5 WALLSTREETLAWYER.COM no. 3 (August 2001) .
  August 2001
34 SEC Update: Recent Case Highlights Liability Implications of EDGAR Rules in 5 WALLSTREETLAWYER.COM 20 (June, 2001) .
  May 2001
35 Insider Trading After SEC Rule 10b-5 reprinted from National Law Journal, January 22, 2001 in 11 SECURITIES REFORM ACT LITIGATION REPORTER 148-151 (May 2001) .
  April 2001
36 SEC Update: the SEC Learns That the Securities Laws Do Have Limits in 11, no. 4 WALLSTREETLAWYER.COM 19 (April 2001) .
2000
  Periodical Articles
  November 2000
37 SEC Update: Internet Auctions of Securities Approved in No-Action Letters in 4 WALLSTREETLAWYER.COM NO. 5 26 (October, 2000) .
  August 2000
38 The Neglected Relationship of Materiality and Recklessness in Actions Under Rule 10b-5 in 55 BUSINESS LAWYER 1023-1038 (2000) .
39 Regulation S-P--Privacy of Consumer Financial Information in 4 WALLSTREETLAWYER.COM 30 (August 2000) (Co-authored by: Lisa Matyas) .
1997
  Periodical Articles
  August 1997
40 Possession Versus Use: Is There a Causation Element in the Prohibition on Insider Trading? in THE BUSINESS LAWYER (August 1997).