Artwork

Content provided by Professor Leslie Garfield Tenzer. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Professor Leslie Garfield Tenzer or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ppacc.player.fm/legal.
Player FM - Podcast App
Go offline with the Player FM app!

Securities Law: When is Something a Security?

16:07
 
Share
 

Manage episode 245219987 series 2286400
Content provided by Professor Leslie Garfield Tenzer. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Professor Leslie Garfield Tenzer or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ppacc.player.fm/legal.

In this episode...
Ann Lipton, the Michael M. Fleishman Associate Professor of Business Law and Entrepreneurship at Tulane Law School explains how to evaluate whether a financial product is a security and therefore subject to securities law regulations.
Some key takeaways are...
1. Stocks and Bonds are securities.
2. Securities are subject to disclosure regulations unless they fall into legislated exceptions.
3. To avoid securities regulation requirements companies and individuals try to disguise products as something other than securities.
4. Courts have developed several tests to evaluate whether a product is a security; the most prominent of which is the Howey test.
About our guest...
Ann M. Lipton is an experienced securities and corporate litigator who has handled class actions involving some of the world’s largest companies. She joined the Tulane Law faculty in 2015 after two years as a visiting assistant professor at Duke University School of Law. In 2016, she was named as Tulane's first Michael M. Fleishman Associate Professor in Business Law and Entrepreneurship. Professor Lipton clerked for U.S. Supreme Court Justice David Souter and 3rd U.S. Circuit Court of Appeals Judge Edward Becker before handling securities and corporate litigation at the trial and appellate levels at law firms in New York City. She also worked briefly for the Securities and Exchange Commission.

-
As always, if you have any suggestions for an episode topic, please let us know!
You can email [email protected] or tweet @lawtofact.
-
Find us on Twitter, Instagram, and Facebook!
Review us on iTunes, your opinion matters!
-
Want to stay updated on all things Law to Fact?
Join our mailing list by visiting www.LawToFact.com.
-
This episode is sponsored by Kaplan Bar Review. Getting ready for the bar exam means you’ll need to choose the study program that’s right for you. Kaplan Bar Review will get you ready to take on test day with confidence by offering $100 off live and on-demand Bar Review with offer code Leslie100.
Visit kaplanbarreview.com today to sign up.

  continue reading

122 episodes

Artwork
iconShare
 
Manage episode 245219987 series 2286400
Content provided by Professor Leslie Garfield Tenzer. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Professor Leslie Garfield Tenzer or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ppacc.player.fm/legal.

In this episode...
Ann Lipton, the Michael M. Fleishman Associate Professor of Business Law and Entrepreneurship at Tulane Law School explains how to evaluate whether a financial product is a security and therefore subject to securities law regulations.
Some key takeaways are...
1. Stocks and Bonds are securities.
2. Securities are subject to disclosure regulations unless they fall into legislated exceptions.
3. To avoid securities regulation requirements companies and individuals try to disguise products as something other than securities.
4. Courts have developed several tests to evaluate whether a product is a security; the most prominent of which is the Howey test.
About our guest...
Ann M. Lipton is an experienced securities and corporate litigator who has handled class actions involving some of the world’s largest companies. She joined the Tulane Law faculty in 2015 after two years as a visiting assistant professor at Duke University School of Law. In 2016, she was named as Tulane's first Michael M. Fleishman Associate Professor in Business Law and Entrepreneurship. Professor Lipton clerked for U.S. Supreme Court Justice David Souter and 3rd U.S. Circuit Court of Appeals Judge Edward Becker before handling securities and corporate litigation at the trial and appellate levels at law firms in New York City. She also worked briefly for the Securities and Exchange Commission.

-
As always, if you have any suggestions for an episode topic, please let us know!
You can email [email protected] or tweet @lawtofact.
-
Find us on Twitter, Instagram, and Facebook!
Review us on iTunes, your opinion matters!
-
Want to stay updated on all things Law to Fact?
Join our mailing list by visiting www.LawToFact.com.
-
This episode is sponsored by Kaplan Bar Review. Getting ready for the bar exam means you’ll need to choose the study program that’s right for you. Kaplan Bar Review will get you ready to take on test day with confidence by offering $100 off live and on-demand Bar Review with offer code Leslie100.
Visit kaplanbarreview.com today to sign up.

  continue reading

122 episodes

All episodes

×
 
Loading …

Welcome to Player FM!

Player FM is scanning the web for high-quality podcasts for you to enjoy right now. It's the best podcast app and works on Android, iPhone, and the web. Signup to sync subscriptions across devices.

 

Quick Reference Guide

Copyright 2025 | Privacy Policy | Terms of Service | | Copyright
Listen to this show while you explore
Play