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ALLAN HORWICH

2017

Periodical Articles

March 2017

2016

Other

March 2016

Papers

February 2016

Periodical Articles

November 2016

  • The Legality of Opportunistically Timing Public Company Disclosures in the Context of SEC Rule 10b5-1 in 71 BUSINESS LAWYER 1113 (2016).

2015

Periodical Articles

August 2015

  • The Mosaic Theory of Materiality – Does the Illusion Have a Future? in 43 SECURITIES REGULATION LAW JOURNAL 129 (2015).

2014

Newspaper Articles

November 2014

  • Insider Trading and Regulatory Overreach in SAN FRANCISCO DAILY JOURNAL, 8 (Nov. 20, 2014).

SSRN

February 2014

2012

Periodical Articles

January 2012

  • 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

2010

Periodical Articles

July 2010

  • 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

SSRN

January 2010

2009

Periodical Articles

October 2009

January 2009

  • Role of Rule 10b5-1 Plans in Securities Litigation in SECURITIESLAW360 (January 12, 2009).

SSRN

January 2009

2007

Periodical Articles

October 2007

  • The Origin, Application, Validity, and Potential Misuse of Rule 10b5-1 in 62 BUSINESS LAWYER 913 (2007).

March 2007

  • 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

  • The Federal Enforcement Framework Pertinent to the Energy Markets in ENERGY ANTITRUST NEWS 9-29 (Winter 2006).

2006

Periodical Articles

October 2006

  • 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

  • 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

  • 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

  • New Form 8-K and Real-Time Disclosure in 37 REVIEW OF SECURITIES AND COMMODITIES REGULATION 109 (June 16, 2004).

February 2004

  • Initial Ruminations on Insider Trading in the Mutual Fund Scandal in 7 WALL STREET LAWYER No. 7 at 1 (December 2003).
  • The Role and Responsibilities of Audit Committees in BANKING & FINANCIAL SERVICES POLICY REPORT no. 11, at 1 (November 2003).
  • 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).

2003

Periodical Articles

July 2003

  • 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

April 2003

  • SEC Update: More Sarbanes-Oxley Rules: Benefit Plan Blackouts and Financial Experts in 6 WALL STREET LAWYER NO. 10 23 (March 2003).

January 2003

  • 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

  • When Does Proper Accounting Treatment Amount to Securities Fraud? (Securities Enforcement and Litigation, American Conference Institute September 2002).

Periodical Articles

December 2002

  • 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

  • Section 11 of the Securities Act: The Cornerstone Needs Some Tuckpointing in 58 THE BUSINESS LAWYER 1-44 (November 2002).

August 2002

  • Securities Laws and the Audit Committee in the Post-Enron World in 6 WALL STREET LAWYER NO. 2 p.7 (July, 2002).

April 2002

  • Careful Pleading Can Avoid the Fatal Impact of the Securities Litigation Uniform Standards Act in 5 WALL STREET LAWYER 1 (March 2002).

March 2002

  • 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

  • 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

  • SEC Update; The Spotlight Shines on Analyst Conflicts of Interest in 5 WALLSTREETLAWYER.COM no. 3 (August 2001) .

August 2001

  • SEC Update: Recent Case Highlights Liability Implications of EDGAR Rules in 5 WALLSTREETLAWYER.COM 20 (June, 2001) .

May 2001

  • 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

  • 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

  • SEC Update: Internet Auctions of Securities Approved in No-Action Letters in 4 WALLSTREETLAWYER.COM NO. 5 26 (October, 2000) .

August 2000

  • The Neglected Relationship of Materiality and Recklessness in Actions Under Rule 10b-5 in 55 BUSINESS LAWYER 1023-1038 (2000) .
  • 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

  • Possession Versus Use: Is There a Causation Element in the Prohibition on Insider Trading? in THE BUSINESS LAWYER (August 1997).