Joseph Grundfest

Stanford University Law School

William A. Franke Professor of Law and Business

559 Nathan Abbott Way

Stanford, CA 94305-8610

United States

  • Stanford University Law School

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    • Tel: 650-723-0458
    • Fax: 650-723-8229
SCHOLARLY PAPERS

35

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Scholarly Papers (35)

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1.

Quadrophobia: Strategic Rounding of EPS Data

Rock Center for Corporate Governance at Stanford University Working Paper No. 65, Stanford Law and Economics Olin Working Paper No. 388
Number of pages: 47 Posted: 18 Sep 2009 Last Revised: 10 Aug 2020
Nadya Malenko, Joseph Grundfest and Yao Shen
University of Michigan, Stephen M. Ross School of Business, Stanford University Law School and City University of New York, Baruch College - Zicklin School of Business - Department of Economics and Finance
Downloads 2,876 (5,023)
Citation 5

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financial reporting practices, earnings management, earnings per share, forensic accounting, analyst coverage, accounting restatements, SEC enforcement actions, class action securities fraud litigation

2.

Stock Price Response to News of Securities Fraud Litigation: Market Efficiency and the Slow Diffusion of Costly Information

Stanford Law and Economics Olin Working Paper No. 208
Number of pages: 59 Posted: 06 Dec 2000
Paul A. Griffin, Joseph Grundfest and Michael Perino
University of California, Davis - Graduate School of Management, Stanford University Law School and St. John's University - School of Law
Downloads 2,560 (6,078)
Citation 16

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Securities class action litigation, stock market response, economic impact, Securities Law Reform, efficient market hypothesis

3.

The Flash Crash: A New Deconstruction

Number of pages: 53 Posted: 26 Jan 2016 Last Revised: 10 May 2017
Eric M. Aldrich, Joseph Grundfest and Gregory Laughlin
University of California, Santa Cruz, Stanford University Law School and Yale University
Downloads 2,128 (8,276)
Citation 13

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High-frequency trading, market microstructure, Flash Crash, financial market regulation.

4.

Did Harvard Violate Federal Securities Law? The Campaign Against Classified Boards of Directors

Rock Center for Corporate Governance at Stanford University Working Paper No. 199
Number of pages: 69 Posted: 10 Dec 2014
Daniel Gallagher and Joseph Grundfest
United States Securities and Exchange Commission (SEC) and Stanford University Law School
Downloads 1,564 (13,523)
Citation 2

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Harvard Shareholder Rights Project, Rule 14a-8, Rule 14a-9, proxy solicitations, shareholder proposals, classified boards, staggered boards, declassification, destaggering, proxy advisers, institutional investors, Janus Capital, respondeat superior

5.

Mandating Gender Diversity in the Corporate Boardroom: The Inevitable Failure of California’s SB 826.

Rock Center for Corporate Governance at Stanford University Working Paper No. 232, Stanford Public Law Working Paper
Number of pages: 26 Posted: 13 Sep 2018 Last Revised: 18 Jan 2019
Joseph Grundfest
Stanford University Law School
Downloads 1,003 (26,478)
Citation 4

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boards, boardroom, directors, corporations, gender, diversity, affirmative action, equal protection, quota, SB 826, internal affairs, unconstitutional, shareholder activism, institutional investors, headquarters, state of incorporation

6.

Regulation FD in the Age of Facebook and Twitter: Should the SEC Sue Netflix?

Rock Center for Corporate Governance at Stanford University Working Paper No. 131
Number of pages: 38 Posted: 21 Feb 2020
Joseph Grundfest
Stanford University Law School
Downloads 850 (33,501)

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Regulation FD, First Amendment, Social Media, Materiality, Enforcement

7.

Damages and Reliance under Section 10(b) of the Exchange Act

Rock Center for Corporate Governance at Stanford University Working Paper No. 150
Number of pages: 78 Posted: 30 Aug 2013 Last Revised: 25 Oct 2013
Joseph Grundfest
Stanford University Law School
Downloads 827 (34,783)
Citation 4

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Securities fraud, reliance, presumption of reliance, Basic v. Levinson, Amgen Inc. v. Connecticut Retirement Plans and Trust Funds, damages, Section 10(b), Rule 10b-5, Section 18

8.

The Future of United States Securities Regulation in an Age of Technological Uncertainty

Stanford Law and Economics Olin Working Paper No. 210
Number of pages: 32 Posted: 13 Dec 2000
Joseph Grundfest
Stanford University Law School
Downloads 671 (46,232)

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9.

The Unexpected Value of Litigation

Stanford Law Review, Vol. 58, p. 1267, 2006, Temple University Legal Studies Research Paper No. 2006-03, Stanford Law and Economics Olin Working Paper No. 292, Minnesota Legal Studies Research Paper No. 04-18
Number of pages: 71 Posted: 02 Sep 2004
Joseph Grundfest and Peter H. Huang
Stanford University Law School and University of Colorado Law School
Downloads 661 (47,168)
Citation 4

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litigation, real options, settlement, game-theoretic bargaining model

10.

Choice of Forum Provisions in Intra-Corporate Litigation: Mandatory and Elective Approaches (The 2010 Pileggi Lecture)

Rock Center for Corporate Governance at Stanford University Working Paper No. 91
Number of pages: 24 Posted: 11 Oct 2010 Last Revised: 27 Oct 2010
Joseph Grundfest
Stanford University Law School
Downloads 644 (48,801)
Citation 1

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Corporate Governance, Forum Selection, Charters, By-Laws

11.

The SEC's Proposed Proxy Access Rules: Politics, Economics, and the Law

Business Lawyer , Vol. 065, No. 2, February, 2010, Rock Center for Corporate Governance at Stanford University Working Paper No. 64, Stanford Law and Economics Olin Working Paper No. 386
Number of pages: 31 Posted: 21 Oct 2009 Last Revised: 27 Apr 2010
Joseph Grundfest
Stanford University Law School
Downloads 599 (53,621)
Citation 1

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Proxy access, Securities and Exchange Commission, corporate governance, directors, boards, shareholder rights, shareholder voting,, corporate elections, administrative law, arbitrary and capricious

12.

Alternatives to Libor

Capital Markets Law Journal (2013) 8 (3): 229-260, Rock Center for Corporate Governance at Stanford University Working Paper No. 138
Number of pages: 30 Posted: 31 May 2013 Last Revised: 26 Jul 2013
Rebecca Tabb and Joseph Grundfest
Stanford Law School and Stanford University Law School
Downloads 579 (56,085)
Citation 2

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London Interbank Offering Rate, LIBOR, LIBOR Alternatives, financial reform

13.

The Brouhaha Over Intra-Corporate Forum Selection Provisions: A Legal, Economic, and Political Analysis

Business Lawyer. Feb2013, Vol. 68 Issue 2, p325-410., Rock Center for Corporate Governance Working Paper No. 125 , Stanford Law and Economics Olin Working Paper No. 439
Number of pages: 78 Posted: 19 Oct 2012 Last Revised: 08 Feb 2014
Joseph Grundfest and Kristen Savelle
Stanford University Law School and Stanford Law School
Downloads 571 (56,901)
Citation 3

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Forum selection, litigation, Delaware, intra-corporate litigation, by-laws, charters

14.

When Does Insider Selling Support a 'Strong Inference' of Fraud?

Stanford Law and Economics Olin Working Paper No. 234
Number of pages: 75 Posted: 26 Mar 2002
Paul A. Griffin and Joseph Grundfest
University of California, Davis - Graduate School of Management and Stanford University Law School
Downloads 570 (57,024)
Citation 1

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15.

Advice and Consent: An Alternative Mechanism for Shareholder Participation in the Nomination and Election of Corporate Directors

Stanford Law and Economics Olin Working Paper No. 274
Number of pages: 27 Posted: 18 Dec 2003
Joseph Grundfest
Stanford University Law School
Downloads 520 (64,028)
Citation 9

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16.

Investor Owned and Controlled Rating Agencies: A Summary Introduction

Rock Center for Corporate Governance at Stanford University Working Paper No. 66, Stanford Law and Economics Olin Working Paper No. 391
Number of pages: 15 Posted: 26 Oct 2009
Joseph Grundfest and Evgeniya E. Hochenberg
Stanford University Law School and Stanford University Law School
Downloads 510 (65,605)
Citation 3

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credit rating agencies, financial regulation, U.S. Securities and Exchange Commission, disclosure, government regulation, risk analysis, capital markets

17.

Identifying the Legal Contours of the Separation of Economic Rights and Voting Rights in Publicly Held Corporations

Rock Center for Corporate Governance at Stanford University Working Paper No. 90
Number of pages: 52 Posted: 20 Oct 2010 Last Revised: 21 Feb 2013
Chris W. Waddell, Kendrick Nguyen, Evan Epstein, Francis Daniel Siciliano and Joseph Grundfest
Olson, Hagel & Fishburn, LLP, Stanford University, Stanford Law School, Stanford Law School and Stanford University Law School
Downloads 509 (65,775)
Citation 1

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Proxy access, Securities and Exchange Commission, corporate governance, directors, boards, shareholder rights, shareholder voting, event study, stock price

18.

The History and Evolution of Intra-Corporate Forum Selection Clauses: An Empirical Analysis

Delaware Journal of Corporate Law (DJCL), Vol. 37, No. 2, 2012, Rock Center for Corporate Governance at Stanford University Working Paper No. 116, Stanford Law and Economics Olin Working Paper No. 427
Number of pages: 78 Posted: 19 Apr 2012 Last Revised: 25 Feb 2013
Joseph Grundfest
Stanford University Law School
Downloads 481 (70,582)
Citation 3

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Forum selection, litigation, Delaware, Journal, Corporate, Law, incomplete contracts, legal innovation

19.

Information Transmission between Financial Markets in Chicago and New York

Downloads 434 ( 79,885)
Citation 21

Information Transmission between Financial Markets in Chicago and New York

Stanford Law and Economics Olin Working Paper No. 442, Rock Center for Corporate Governance at Stanford University Working Paper No. 137
Number of pages: 19 Posted: 04 Mar 2013 Last Revised: 18 Apr 2013
Gregory Laughlin, Anthony Aguirre and Joseph Grundfest
Yale University, University of California, Santa Cruz and Stanford University Law School
Downloads 433 (79,356)
Citation 3

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Information Transmission between Financial Markets in Chicago and New York

Financial Review, Vol. 49, Issue 2, pp. 283-312, 2014
Number of pages: 30 Posted: 08 Apr 2014
Gregory Laughlin, Anthony Aguirre and Joseph Grundfest
Yale University, University of California, Santa Cruz and Stanford University Law School
Downloads 1 (793,426)
Citation 4
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market behavior, market pricing, market structure

20.

The Limits of Delaware Corporate Law: Internal Affairs, Federal Forum Provisions, and Sciabacucchi

Rock Center for Corporate Governance at Stanford University Working Paper No. 241
Number of pages: 97 Posted: 13 Sep 2019 Last Revised: 28 Sep 2019
Joseph Grundfest
Stanford University Law School
Downloads 411 (85,414)

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Securities Act, forum selection, Delaware, jurisdiction, litigation, Section 11, charters, by-laws, internal affairs, federal forum provisions

21.

The Wizard of Oz, the United States Constitution, and Corporate Governance

Rock Center for Corporate Governance at Stanford University Working Paper No. 9
Number of pages: 12 Posted: 12 Nov 2007 Last Revised: 29 Sep 2009
Joseph Grundfest
Stanford University Law School
Downloads 405 (86,636)

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Corporate governance, advice and consent, directors, boards, shareholders, shareholder rights, shareholder voting, shareholder franchise, corporate elections, corporate ballot, proxy fights, access to the ballot

22.

Reinventing the Securities Disclosure Regime: Online Questionnaires as Substitutes for Form-Based Filings

Stanford Law and Economics Olin Working Paper No. 361, Rock Center for Corporate Governance at Stanford University Working Paper No. 2
Number of pages: 11 Posted: 19 Aug 2008 Last Revised: 27 Jul 2014
Joseph Grundfest and Alan L. Beller
Stanford University Law School and Cleary Gottlieb Steen & Hamilton LLP
Downloads 369 (96,454)
Citation 1

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Securities and Exchange Commission, securities disclosure, registration, periodic filing, periodic reports, EDGAR, XBRL, internet, on-line questionnaire

23.

Scheme Liability: A Question for Congress, Not for the Court

Stanford Law and Economics Olin Working Paper No. 344, Stanford Public Law Working Paper No. 1005524, Rock Center for Corporate Governance at Stanford University Working Paper No. 12
Number of pages: 15 Posted: 30 Aug 2007 Last Revised: 29 Sep 2009
Joseph Grundfest
Stanford University Law School
Downloads 279 (130,800)

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24.

Measurement Issues in the Proxy Access Debate

Rock Center for Corporate Governance at Stanford University Working Paper No. 71, Stanford Law and Economics Olin Working Paper No. 392
Number of pages: 10 Posted: 18 Jan 2010
Joseph Grundfest
Stanford University Law School
Downloads 266 (137,503)
Citation 3

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Proxy access, Securities and Exchange Commission, corporate governance, directors, boards, shareholder rights, shareholder voting, event study, stock price

25.

Is There an Express Section 10(b) Private Right of Action? A Response to Professor Prentice

Stanford Law and Economics Olin Working Paper No. 352, Rock Center for Corporate Governance Working Paper No. 19
Number of pages: 11 Posted: 20 Dec 2007 Last Revised: 29 Sep 2009
Joseph Grundfest
Stanford University Law School
Downloads 232 (157,299)

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aiding and abetting, scheme liability, implied private right, 10b-5, legislative intent

26.

Internal Contradictions in the SEC's Proposed Proxy Access Rules

Rock Center for Corporate Governance at Stanford University Working Paper No. 60
Number of pages: 20 Posted: 24 Jul 2009
Joseph Grundfest
Stanford University Law School
Downloads 195 (185,104)
Citation 3

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Proxy access, Securities and Exchange Commission, corporate governance, directors, boards, shareholder rights, shareholder voting,, corporate elections, administrative law, arbitrary and capricious

27.

Morrison, the Restricted Scope of Securities Act Section 11 Liability, and Prospects for Regulatory Reform

Rock Center for Corporate Governance at Stanford University Working Paper No. 202
Number of pages: 67 Posted: 04 Mar 2015
Joseph Grundfest
Stanford University Law School
Downloads 177 (201,769)
Citation 1

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Morrison v. National Australia Bank, Section 11, tracing, extraterritorial, extraterritoriality, domestic transaction, IPO, initial public offering, springing rights, implied rights, aftermarket, secondary market, CUSIP, book-entry, street name

28.

Ask Me No Questions and I Will Tell You No Lies: The Insignificance of Leidos before the United States Supreme Court

Rock Center for Corporate Governance at Stanford University Working Paper No. 229
Number of pages: 43 Posted: 02 Oct 2017
Joseph Grundfest
Stanford University Law School
Downloads 174 (204,757)

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Leidos, 10(B), 10b-5, 906 Certification, Pure Omissions, Regulation S-K, Item 303, Duty to Disclose, Sarbanes Oxley, 13(A)

29.

Fair or Foul? SEC Administrative Proceedings and Prospects for Reform Through Removal Legislation

Rock Center for Corporate Governance at Stanford University Working Paper No. 212
Number of pages: 23 Posted: 25 Nov 2015 Last Revised: 28 Nov 2015
Joseph Grundfest
Stanford University Law School
Downloads 169 (209,960)
Citation 2

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Due Process Restoration Act of 2015; administrative proceedings; SEC; Securities and Exchange Commission; removal legislation

30.

I Told You So

Downloads 113 (287,979)

I Told You So

Rock Center for Corporate Governance at Stanford University Working Paper No. 186
Number of pages: 12 Posted: 09 May 2014
Joseph Grundfest
Stanford University Law School
Downloads 77 (371,462)

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Delaware, Corporate Law, Takeovers, Section 203, Pre-emption

I Told You So

Delaware Journal of Corporate Law (DJCL), Vol. #39, No. 1, 2014, Stanford Law and Economics Olin Working Paper No. 465
Number of pages: 12 Posted: 18 Aug 2014 Last Revised: 19 Sep 2014
Joseph Grundfest
Stanford University Law School
Downloads 36 (528,998)

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Delaware, Journal, Corporate, Law, Joseph, Grundfest, I, Told, You, So, Section 203, Exemption, Threshold

31.

Federal Forum Provisions: Historical Development and Future Evolution

Number of pages: 19 Posted: 16 Dec 2019
Joseph Grundfest
Stanford University Law School
Downloads 111 (293,398)
Citation 1

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Securities Act, forum selection, Delaware, jurisdiction, litigation, Section 11, charters, by-laws, internal affairs, federal forum provisions, directors and officers insurance, Sciabacucchi

32.

Stock Price Response to News of Securities Fraud Litigation: An Analysis of Sequential and Conditional Information

Number of pages: 28 Posted: 15 Mar 2004
Paul A. Griffin, Joseph Grundfest and Michael Perino
University of California, Davis - Graduate School of Management, Stanford University Law School and St. John's University - School of Law
Downloads 39 (503,056)
Citation 7
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33.

Brief for Urska Velikonja and Joseph Grundfest as Amici Curiae in Lucia v. SEC, No. 17-130 (U.S. Supreme Court)

Number of pages: 38 Posted: 19 Mar 2018
Urska Velikonja and Joseph Grundfest
Georgetown University Law Center and Stanford University Law School
Downloads 32 (537,567)
Citation 1

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SEC, enforcement, administrative procedure, administrative law, ALJ

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35.

Real Options and the Economic Analysis of Litigation: A Preliminary Inquiry

Working Paper No. 131, John M. Olin Program in Law and Economics, Stanford Law School
Posted: 13 Jun 1998
Joseph Grundfest and Peter H. Huang
Stanford University Law School and University of Colorado Law School

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