Allan Horwich

Northwestern University - Pritzker School of Law

Professor

375 E. Chicago Ave

Chicago, IL 60611

United States

Schiff Hardin LLP

6600 Sears Tower

Chicago, IL 60606-6473

United States

SCHOLARLY PAPERS

12

DOWNLOADS
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Top 28,281

in Total Papers Downloads

1,625

SSRN CITATIONS

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Scholarly Papers (12)

1.

An Inquiry into the Perception of Materiality as an Element of Scienter under SEC Rule 10b-5

Business Lawyer, Vol. 67, No. 1, 2011, Northwestern Law & Economic Research Paper No. 11-11, Northwestern Public Law Research Paper No. 11-44
Number of pages: 40 Posted: 27 Apr 2011 Last Revised: 24 Jan 2012
Allan Horwich
Downloads 271 (112,490)

Abstract:

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10b-5, materiality, scienter, recklessness

2.

The Origin, Application, Validity, and Potential Misuse of Rule 10b5-1

Business Lawyer, Vol. 62, 2007, Northwestern Law & Econ Research Paper No. 09–37
Number of pages: 43 Posted: 10 Oct 2009
Allan Horwich
Downloads 221 (138,290)

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insider trading, Rule 10b5-1, Rule 10b5-1, stock trading plan

3.

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?

New York University Journal of Law and Business, Vol. 5, No. 2, 2009 , Northwestern Law & Econ Research Paper No. 09-02
Number of pages: 47 Posted: 23 Jan 2009 Last Revised: 07 Oct 2009
Allan Horwich
Downloads 220 (138,924)

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disclosure, Rule 10b-5, illness

4.

Cleaning the Murky Safe Harbor for Forward-Looking Statements: An Inquiry into Whether Actual Knowledge of Falsity Precludes the Meaningful Cautionary Statement Defense

Journal of Corporation Law, Vol. 35, 2010, Northwestern Law & Econ Research Paper No. 10-02
Number of pages: 42 Posted: 09 Jan 2010 Last Revised: 10 Apr 2010
Allan Horwich
Downloads 198 (153,347)

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safe harbor, forward-looking statements, bespeaks caution, securities fraud, 10b-5

5.

The Mosaic Theory of Materiality – Does the Illusion Have a Future?

Securities Regulation Law Journal, Forthcoming, Northwestern Law & Econ Research Paper No. 14-05
Number of pages: 51 Posted: 19 Feb 2014 Last Revised: 16 May 2015
Allan Horwich
Downloads 181 (166,487)

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materiality, mosaic, insider trading, 10b-5

6.

The Legality of Opportunistically Timing of Public Company Disclosures in the Context of SEC Rule 10b5-1

17 Business Lawyer 1113 (2016), Northwestern Law & Econ Research Paper No. 16-01
Number of pages: 39 Posted: 19 Feb 2016 Last Revised: 08 Oct 2016
Allan Horwich
Downloads 171 (175,073)
Citation 1

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section 10(b), rule 10b-5, rule 10b5-1

7.

The Securities Law Disclosure Rules of the Road Regarding Executive Illness

Securities Regulation Law Journal, Forthcoming, Northwestern Law & Econ Research Paper No. 18-01
Number of pages: 20 Posted: 11 Jan 2018
Allan Horwich
Downloads 109 (250,080)
Citation 1

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10b-5, disclosure, executive illness

8.

The Clinical Trial Research Participant as an Inside Trader: A Legal and Policy Analysis

Journal of Health Law, Vol. 39, No. 1, 2006, Northwestern Law & Econ Research Paper No. 09-39
Number of pages: 42 Posted: 10 Oct 2009
Allan Horwich
Downloads 80 (305,395)

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insider trading, Rule 10b-5, duties of clinical investigator, duties of patient

9.

Warnings to the Unwary: Multi-Jurisdictional Federal Enforcement of Manipulation and Deception in the Energy Markets after the Energy Policy Act of 2005

Energy Law Journal, Vol. 27, No. 2, 2006, Northwestern Law & Econ Research Paper No. NO. 09–40
Number of pages: 61 Posted: 10 Oct 2009
Allan Horwich
Downloads 72 (324,550)

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energy market manipulation, commodity market manipulation, Energy Policy Act of 2005

10.

Pleading Reform or Unconstitutional Encroachment? An Analysis of the Seventh Amendment Implications of the Private Securities Litigation Reform Act

Securities Regulation Law Journal, VOL. 33, No. 4, 2006, Northwestern Law & Econ Research Paper No. 09–38
Number of pages: 33 Posted: 10 Oct 2009
Allan Horwich and Sean Siekkinen
Downloads 61 (354,144)

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PSLRA, 10b-5 civil claims, Seventh Amendment

11.

A Call for the SEC to Adopt More Safe Harbors that Limit the Reach of Rule 10b-5

Business Lawyer, Forthcoming, Northwestern Law & Econ Research Paper No. 18-12
Number of pages: 72 Posted: 25 May 2018 Last Revised: 02 Jul 2018
Allan Horwich
Downloads 41 (421,054)

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10b-5, safe harbor, Exchange Act reporting

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