Andrew N. Vollmer

Independent

SCHOLARLY PAPERS

16

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Scholarly Papers (16)

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1.

Four Ways To Improve SEC Enforcement

43 Sec. Reg. L.J. 333 (2015), Virginia Public Law and Legal Theory Research Paper No. 40
Number of pages: 18 Posted: 01 Aug 2015 Last Revised: 19 Feb 2016
Andrew N. Vollmer
Independent
Downloads 339 (135,402)

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SEC enforcement, SEC subpoena, length of SEC investigation, cost of SEC investigation, Section 20(b), fair notice of unlawful conduct

2.

SEC Revanchism and the Expansion of Primary Liability Under Section 17(a) and Rule 10b-5

10 Virginia Law & Business Review 273 (2016)., Virginia Public Law and Legal Theory Research Paper No. 37
Number of pages: 69 Posted: 05 Jul 2015 Last Revised: 07 Apr 2016
Andrew N. Vollmer
Independent
Downloads 243 (190,698)
Citation 3

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Primary liability, secondary liability, aiding and abetting, Section 17(a), Rule 10b-5, Janus, Stoneridge, Central Bank, Flannery, fraud, deceit, deception, manipulation, Chevron, judicial review of agency action, APA Section 706

3.

Computer Hacking and Securities Fraud

47 Sec. Reg. & L. Rep. 1985 (October 19, 2015), Virginia Law and Economics Research Paper No. 26
Number of pages: 7 Posted: 20 Feb 2016 Last Revised: 13 Jun 2016
Andrew N. Vollmer
Independent
Downloads 207 (222,021)

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computer hacking, Rule 10b-5, deception requirement, in connection with requirement

4.

Does the SEC Have Legal Authority to Adopt Climate-Change Disclosure Rules?

Mercatus Policy Brief Series
Number of pages: 25 Posted: 23 Aug 2021
Andrew N. Vollmer
Independent
Downloads 145 (301,358)

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SEC, rule making, Congress, climate change, statutory authority, disclosure rules, securities law, administrative law

5.

Abandon the Concept of Accredited Investors in Private Securities Offerings

49 Securities Regulation Law Journal 5 (2021), Mercatus Working Paper Series
Number of pages: 30 Posted: 27 Oct 2020 Last Revised: 01 Jun 2021
Andrew N. Vollmer
Independent
Downloads 132 (326,085)

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private offerings, accredited investors, disclosure, Rule 506, mandatory disclosure, exemption

6.

The Second Circuit’s Blaszczak Decision: Dirks Besieged

Number of pages: 7 Posted: 28 Jan 2020
Andrew N. Vollmer
Independent
Downloads 104 (384,514)

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securities fraud, wire fraud, Section 1348, Rule 10b-5, Chiarella, Dirks, O’Hagan, Carpenter, insider trading, personal benefit, breach of fiduciary duty, tipper, tippee, tipping, statutory purpose

7.

A Rule of Construction for the Personal Benefit Requirement in Tipping Cases

NYU Journal of Law & Liberty, Vol. 11, No. 1, 2017, Virginia Public Law and Legal Theory Research Paper No. 28
Number of pages: 15 Posted: 20 Mar 2016 Last Revised: 03 May 2018
Andrew N. Vollmer
Independent
Downloads 97 (402,791)

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Dirks, Chiarella, Stoneridge, Janus, Blue Chip Stamps, Salman, Newman, insider trading, tipping, tipper, tippee, personal benefit, implied right of action, breach of duty

8.

Accusers as Adjudicators in Agency Enforcement Proceedings

52 U. Mich. J.L. Reform 103 (2018), Virginia Public Law and Legal Theory Research Paper No. 2018-29
Number of pages: 54 Posted: 08 May 2018 Last Revised: 20 Jan 2019
Andrew N. Vollmer
Independent
Downloads 85 (437,723)

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Impartiality, bias, due process, Withrow v. Larkin, Williams v. Pennsylvania, agency adjudications, disqualification, combination of functions, accuser, adjudicator

9.

Submission of Comments on Improving and Reforming Regulatory Enforcement and Adjudication at the Securities and Exchange Commission

Number of pages: 7 Posted: 27 Mar 2020 Last Revised: 30 Mar 2020
Andrew N. Vollmer
Independent
Downloads 62 (520,268)

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SEC Enforcement, SEC Adjudication, Due Process, Impartiality of Adjudicator, Fairness, Statute of Limitations, No Deny Settlements, Settlements, Burden to Prove Exemption, Prior Judicial Precedent

10.

What Remains of Kokesh After Liu?

Number of pages: 5 Posted: 17 Jul 2020
Andrew N. Vollmer
Independent
Downloads 47 (589,325)

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Liu, Kokesh, disgorgement, SEC enforcement, 2462, statute of limitations, equitable relief

11.

Explaining Dirks

Mercatus Working Paper, 58 American Criminal Law Review 523 (2021)
Number of pages: 40 Posted: 26 Mar 2020 Last Revised: 01 Jun 2021
Andrew N. Vollmer
Independent
Downloads 44 (605,046)

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Dirks, Chiarella, Salman, Martoma, Newman, Lewis Powell, tipper, tipping, insider trading, personal benefit, inference, drafting history

12.

Harmonizing Private Securities Offering Exemptions

Number of pages: 18 Posted: 28 Jan 2020
Andrew N. Vollmer
Independent
Downloads 44 (605,046)

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13.

Adopting the SEC’s Proposed Climate-Related Disclosure Rules Would Be Unwise

Number of pages: 10 Posted: 16 May 2022
Andrew N. Vollmer
Independent
Downloads 40 (627,465)

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climate change, disclosure, judicial review of agency action, cost-benefit analysis, disclosure process, safe harbor

14.

Statutes of Limitations and Unanswered Questions in the New SEC Disgorgement Statute

Number of pages: 11 Posted: 20 Sep 2022
Andrew N. Vollmer
Independent
Downloads 29 (697,796)

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limitations, disgorgement, statute of limitations, SEC, enforcement, Liu, Kokesh

15.

Evidence on the Use of Disclosure Documents in Private Securities Offerings to Accredited Investors

Mercatus Working Paper Series
Number of pages: 25 Posted: 27 Oct 2020
Andrew N. Vollmer
Independent
Downloads 25 (727,726)

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accredited investors, disclosure, prospectus, evidence, survey, practitioners, Rule 506, private offering exemption

16.

Settlement Fund Fraud Is Not Securities Fraud

Number of pages: 3 Posted: 01 Dec 2021
Andrew N. Vollmer
Independent
Downloads 23 (743,942)

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securities fraud, Rule 10b-5, SEC enforcement, in connection with, lack of element