Thomas Lee Hazen

University of North Carolina School of Law

Cary C. Boshamer Professor of Law

Van Hecke-Wettach Hall, 160 Ridge Road

CB #3380

Chapel Hill, NC 27599-3380

United States

  • University of North Carolina School of Law

    • Email
    • Tel: 919--962-8504
SCHOLARLY PAPERS

19

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Scholarly Papers (19)

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1.

Crowdfunding or Fraudfunding? Social Networks and the Securities Laws – Why the Specially Tailored Exemption Must be Conditioned on Meaningful Disclosure

North Carolina Law Review, Forthcoming
Number of pages: 36 Posted: 03 Nov 2011 Last Revised: 03 Jan 2013
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 2,981 (7,256)
Citation 4

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securities, crowdfunding, social media, social networks

2.

Disparate Regulatory Schemes for Parallel Activities: Securities Regulation, Derivatives Regulation, Gambling, and Insurance

UNC Legal Studies Research Paper No. 05-4
Number of pages: 75 Posted: 24 Feb 2005
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 674 (65,724)

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commodities, derivatives, gambling, insurance, regulation

3.

Punctilios and Nonprofit Corporate Governance - A Comprehensive Look at Nonprofit Directors’ Fiduciary Duties

14 U. PA. J. BUS. L. 347 (2012) , UNC Legal Studies Research Paper No. 1920467
Number of pages: 68 Posted: 31 Aug 2011 Last Revised: 10 Aug 2020
Thomas Lee Hazen and Lisa Love Hazen
University of North Carolina School of Law and affiliation not provided to SSRN
Downloads 569 (81,290)

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corporate governance, nonprofit organizations, fiduciary duties

4.

Duties of Nonprofit Corporate Directors – Emphasizing Oversight Responsibilities

90 N.C.L. REV. 1845 (2012) , UNC Legal Studies Research Paper No. 1984167
Number of pages: 41 Posted: 13 Jan 2012 Last Revised: 10 Aug 2020
Thomas Lee Hazen and Lisa Love Hazen
University of North Carolina School of Law and affiliation not provided to SSRN
Downloads 489 (98,038)

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nonprofit, directors, fiduciary duties, North Carolina

5.

Filling a Regulatory Gap: It is Time to Regulate Over-the-Counter Derivatives

UNC Legal Studies Research Paper No. 1338339, N.C. Banking Institute, Vol. 13, 2009
Number of pages: 16 Posted: 16 Sep 2009
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 480 (100,318)

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derivatives, credit default swaps, securities regulation, deregulation

6.

Social Issues in the Spotlight: The Increasing Need to Improve Publicly-Held Companies’ CSR and ESG Disclosures

23 U. Pa. J. Bus. L. 740 (2021)
Number of pages: 57 Posted: 29 Jun 2020 Last Revised: 16 Apr 2021
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 479 (100,575)
Citation 2

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CSR, Disclosure, ESG, Environmental, Social, Governance, Materiality, MD&A, Safe harbor rule, Securities, Social Responsibility,

7.

Are Existing Stock Broker Standards Sufficient? Principles, Rules and Fiduciary Duties

Columbia Business Law Review, Vol. 2010, No. 3, Fall 2010, UNC Legal Studies Research Paper No. 1677448
Number of pages: 54 Posted: 17 Sep 2010 Last Revised: 16 Nov 2010
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 477 (101,071)

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Administrative Law, Broker-Dealers, Business Law, Fiduciary Duties, Financial Regulation, Securities Regulation

8.

Stock Broker Fiduciary Duties and the Impact of the Dodd-Frank Act

North Carolina Banking Institute, Vol. 15, 2011, UNC Legal Studies Research Paper No. 1767564
Number of pages: 22 Posted: 23 Feb 2011
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 433 (113,177)

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Securities, Broker-Dealer, Fiduciary Duty, Investment Adviser

9.

Silencing the Shareholders' Voice

Number of pages: 33 Posted: 29 Sep 2002
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 361 (139,382)

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Corporate governance, shareholders, corporate law

10.

Identifying the Duty Prohibiting Outsider Trading on Material Non-Public Information

UNC Legal Studies Research No. 1472090, Hastings Law Journal Vol. 61, p. 881, 2010
Number of pages: 36 Posted: 12 Sep 2009 Last Revised: 06 Apr 2010
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 344 (146,845)

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11.

Corporate and Securities Law Impact on Social Responsibility and Corporate Purpose

62 B.C.L. Rev. 851 (2021), UNC Legal Studies Research Paper
Number of pages: 55 Posted: 31 Mar 2020 Last Revised: 27 Mar 2021
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 331 (152,905)

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corporate governance, corporate purpose, CSR, disclosure, ESG, environmental, materiality, social responsibility, sustainability, ultra vires, securities law

12.

Board Diversity and Proxy Disclosure

University of Dayton Law Review, Vol. 37, No. 1, p. 39, 2012, UNC Legal Studies Research Paper No. 1920442
Number of pages: 37 Posted: 02 Sep 2011 Last Revised: 30 Jul 2012
Thomas Lee Hazen and Lissa L. Broome
University of North Carolina School of Law and University of North Carolina School of Law
Downloads 282 (182,394)

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board of directors, corporations, corporate governance, diversity, proxy disclsoures, securities regulation

13.

Tulips, Oranges, Worms, and Coins – Virtual, Digital, or Crypto Currency and the Securities Laws

North Carolina Journal of Law and Technology, Forthcoming
Number of pages: 31 Posted: 14 Mar 2019 Last Revised: 25 Feb 2020
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 229 (222,499)

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Cryptocurrency, Virtual Currency, Digital Currency, Securities, Finance, Technology

14.

Virtual or Crypto Currencies and the Securities Laws

38 FUT. & DERIV. L. REP. 1 (Issue 10, Nov. (2018)
Number of pages: 12 Posted: 24 Oct 2018 Last Revised: 02 Sep 2021
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 165 (298,765)

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Virtual, Crypto, Currency, Securities, Regulation

15.

Diversity on Corporate Boards – Limits to the Business Rationale and the Connection between Supporting Rationales and the Appropriate Response of the Law

89 N.C.L.REV. 887 (2011), UNC Legal Studies Research Paper No. 1677513
Number of pages: 15 Posted: 15 Sep 2010 Last Revised: 02 Jun 2020
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 163 (301,842)

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Corporate Governance, Corporations, Diversity

16.

Slack v. Pirani: Brief for Amici Curiae Law and Business Professors in Support of Respondent

Columbia Public Law Research Paper No. 4391777, The Wharton School Research Paper
Number of pages: 32 Posted: 27 Mar 2023
Joshua Mitts, John C. Coffee, William W. Clayton, James D. Cox, Wendy Gerwick Couture, Merritt B. Fox, Jeffrey N. Gordon, Thomas Lee Hazen, Michael J. Kaufman, Donald C. Langevoort, James J. Park, Hillary A. Sale, Joel Seligman, Marc I. Steinberg, Daniel J. Taylor, David H. Webber, Charles K. Whitehead and Arthur E. Wilmarth
Columbia Law School, Columbia Law School, Brigham Young University - J. Reuben Clark Law School, Duke University School of Law, University of Idaho College of Law, Columbia University - Law School, Columbia Law School, University of North Carolina School of Law, Loyola University Chicago School of Law, Georgetown University Law Center, University of California, Los Angeles (UCLA) - School of Law, Georgetown University Law Center, Washington University in St Louis, School of Law, Southern Methodist University - Dedman School of Law, The Wharton School, University of Pennsylvania, Boston University School of Law, Cornell Law School and George Washington University Law School
Downloads 120 (386,650)

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securities law, direct listings, Section 11, tracing, FINRA, investor protection

17.

Materiality in the Context of Code of Ethics Disclosures

24 WALL. ST. LAW. 9 (Issue No. 7 July 2020)., UNC Legal Studies Research Paper
Number of pages: 7 Posted: 02 Sep 2020 Last Revised: 19 Oct 2020
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 65 (564,874)

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code of ethics, materiality, securities disclosures

18.

Little Ripples or Big Waves? Two Recent Cases on Crypto Currency as a Security

Wall Street Lawyer
Number of pages: 7 Posted: 28 Aug 2023 Last Revised: 29 Sep 2023
Thomas Lee Hazen
University of North Carolina School of Law
Downloads 37 (719,832)

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Security definition, crypto currency, digital currency

19.

Rational Investing or Speculative Fever?: Spacs, Robinhood, and Digital Assets -- Securities Markets or Casinos?

___ FIU Law Review ___
Posted: 01 Oct 2023
Thomas Lee Hazen
University of North Carolina School of Law

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bubble, crypto currency, digital assets, disclosure, financial bubble, gamification, gambling, meme stock, NFT, non-fungible token, public offering, registration requirements, regulation, securities regulation, security definition, Robinhood, SPAC, speculation, virtual currency