Joseph Grundfest

Stanford University Law School

William A. Franke Professor of Law and Business

559 Nathan Abbott Way

Stanford, CA 94305-8610

United States

SCHOLARLY PAPERS

33

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CITATIONS
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55

Scholarly Papers (33)

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: 35 Posted: 18 Sep 2009 Last Revised: 03 Jul 2014
Nadya Malenko and Joseph Grundfest
Boston College - Carroll School of Management and Stanford University Law School
Downloads 2,481 (4,633)
Citation 3

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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 2,461 (4,700)
Citation 13

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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 1,847 (7,661)

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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 1,516 (10,573)

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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.

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 769 (29,416)
Citation 1

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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

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: 31 Jan 2013 Last Revised: 26 Jun 2014
Joseph Grundfest
Stanford University Law School
Downloads 761 (29,819)

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

7.

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 658 (36,383)

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8.

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 643 (37,506)
Citation 8

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

9.

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 628 (38,739)

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Corporate Governance, Forum Selection, Charters, By-Laws

10.

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 587 (42,301)
Citation 8

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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

11.

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 558 (45,213)
Citation 2

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12.

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 529 (48,355)

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

13.

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 495 (52,566)
Citation 4

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14.

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 492 (53,088)

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

15.

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 485 (53,934)

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

16.

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
Olson, Hagel & Fishburn, LLP, Stanford University, Stanford Law School, Stanford Law School and Stanford University Law School
Downloads 477 (55,104)

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

17.

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 464 (57,052)

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

18.

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: 14 Nov 2018
Joseph Grundfest
Stanford University Law School
Downloads 458 (58,162)

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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

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 403 (67,156)

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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 (640,558)
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market behavior, market pricing, market structure

20.

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 391 (70,146)

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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

21.

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 361 (77,021)
Citation 1

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

22.

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 276 (103,783)

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23.

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 260 (110,509)
Citation 2

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

24.

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 229 (125,814)

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

25.

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 192 (148,778)
Citation 2

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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

26.

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 164 (171,249)

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

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 162 (173,844)

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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 153 (181,503)

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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.
Downloads 102 (247,361)

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 70 (315,004)

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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 32 (443,952)

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

30.

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

Abacus, Vol. 40, No. 1, pp. 21-48, February 2004
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 (405,198)
Citation 11
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31.

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 21 (488,367)

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SEC, enforcement, administrative procedure, administrative law, ALJ

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33.

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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