Are SOX and Dodd-Frank Securities Laws? The Answer is 'Up in the Air'

16 Pages Posted: 8 May 2014

Date Written: May 6, 2014

Abstract

This contribution to the 2013 Instittue for Investor Protection Conference poses and addresses the question of whether the whistleblower provisions of SOX and Dodd-Frank raise the same set of policy concerns as private securities litigation, which have undergirded an increasingly skeptical approach from the bench over the past 20 years. Using the Court's recent decision in Lawson v. FMR LLC, the essay argues that the whistleblower provisions of SOX and Dodd-Frank do not raise the same set of concerns that have justified courts' hostile treatment of securities litigation.

Keywords: whistleblowers, Dodd-Frank, Sarbanes-Oxley, vexatiousness, private securities litigation, securities litigation, bounty rewards

Suggested Citation

Rapp, Geoffrey Christopher, Are SOX and Dodd-Frank Securities Laws? The Answer is 'Up in the Air' (May 6, 2014). Loyola University Chicago Law Journal, Vol. 45, 2014, University of Toledo Legal Studies Research Paper No. 2014-12, Available at SSRN: https://ssrn.com/abstract=2433672

Geoffrey Christopher Rapp (Contact Author)

University of Toledo College of Law ( email )

2801 W. Bancroft Street
Toledo, OH 43606
United States

Do you have a job opening that you would like to promote on SSRN?

Paper statistics

Downloads
53
Abstract Views
663
rank
447,960
PlumX Metrics