Manning G. Warren

University of Louisville - Louis D. Brandeis School of Law

Wilson W. Wyatt Hall

Louisville, KY 40292

United States

  • University of Louisville - Louis D. Brandeis School of Law

SCHOLARLY PAPERS

30

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3

CROSSREF CITATIONS

6

Scholarly Papers (30)

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1.

Equitable Clawback: An Essay on Restoration of Executive Compensation

University of Pennsylvania Journal of Busines Law, Vol.12, 2010
Number of pages: 22 Posted: 20 May 2009 Last Revised: 12 Feb 2010
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 474 (101,808)
Citation 1

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executive compensation, fiduciary duties, faithless servant doctrine, forfeiture of compensation, restoration of compensation, equitable clawback, executive overcompensation, corporate officers, restitutionary remedies, unjust enrichment, entity versus individual responsibility, employment law

2.

The Regulation of Insider Trading in the European Community

Washington and Lee Law Review, Vol. 48, No. 3, Summer 1991
Number of pages: 45 Posted: 07 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 341 (147,913)

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European Community, insider trading, primary insiders, secondar insiders, securities, publicly traded, integrated secuirites markets, European Code of Conduct, insider information

3.

An Essay on Rule 506 of Regulation D; Its Questionable Origins, Regulatory Oblivion and Judicial Revitalization

Securities Regulation Law Journal, Vol. 38, No. 1, Spring 2010
Number of pages: 18 Posted: 13 Jan 2010 Last Revised: 21 Jan 2010
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 325 (155,701)

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corporate finance, covered securities, securities, federalism, Regulation D, securities fraud, preemption, private offerings, securities registration, blue sky law, rulemaking authority

4.

Legitimacy in the Securities Industry: The Role of Merit Regulation

Brooklyn Law Review, Vol. 53, p. 129, Winter 1987
Number of pages: 12 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 208 (242,857)
Citation 1

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merit regulation, merit review, investors, issuers, securities offerings, dual regulatory system, federal securities laws, state securities laws

5.

Revenue Recognition and Corporate Counsel

Southern Methodist University Law Review, Vol. 56, No. 2, Spring 2003
Number of pages: 41 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 191 (262,401)

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revenue recognition, corporate counsel, accounting frauds, financial fraud, Sarbanes-Oxley Act, federal regulation, corporate directors, fiduciary duty, breach of fiduciary duty, corporate advisors, professional conduct

6.

One Share, One Vote: A Perception of Legitimacy

Journal of Corporation Law, Vol. 14, p. 89, 1989
Number of pages: 24 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 184 (271,376)

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shareholders, New York Stock Exchange, Securities Exchange Commission, one share, one vote, directors, capital loss, voting rights, securities markets, investor protection

7.

A Review of Regulation D: The Present Exemption Regimen for Limited Offerings Under the Securities Act of 1933

The American University Law Review, Vol. 33, No. 2, Winter 1984
Number of pages: 36 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 184 (271,376)
Citation 2

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federal securities laws, Securities and Exchange Commission, Regulation D, exemptions, limited offerings, Securities Act of 1933, registration, investor protection, Rule 504, Rule 505, Rule 506

8.

The Regulatory Vortex for Private Placements

45 Securities Regulation Law Journal 9 (2017), University of Louisville School of Law Legal Studies Research Paper Series No. 2017-9
Number of pages: 16 Posted: 19 Sep 2017 Last Revised: 19 Oct 2017
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 178 (279,296)

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Private Placements, Securities Registration, Regulatory Exemptions, Covered Securities, Vortex

9.

The Harmonization of European Securities Law

The International Lawyer, Vol. 37, No. 1, Spring 2003
Number of pages: 16 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 173 (286,338)

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European securities law, Member States, regulatory harmonization, regulatory system, European financial markets

10.

Global Harmonization of Securities Laws: The Achievements of the European Communities

Harvard International Law Journal, Vol. 31, No. 1, Winter 1990
Number of pages: 50 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 162 (302,684)
Citation 2

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European Communities, global harmonization, securities law, securities markets, internationalization, deregulation

11.

The U.S. Securities Fraud Class Action: An Unlikely Export to the European Union

37 Brooklyn Journal of International Law 1075, University of Louisville School of Law Legal Studies Research Paper Series No. 2013-10
Number of pages: 41 Posted: 26 Feb 2013
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 160 (309,129)

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securities, securities fraud, class action, European Union, export, securities litigation model, securities fraud class action, collective redress, collective private remedies, EU member states, supranational remedy, harmonization

12.

The European Union's Investment Services Directive

University of Pennsylvania Journal of International Business Law, Vol. 15, No. 2, Summer 1994
Number of pages: 31 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 141 (339,229)

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European Union, European Union Investment Services, Directive, securities regulation, European capital markets, international markets, Member States, transaction disclosure

13.

The Prospects for Convergence in Collective Redress Remedies in the European Union

"The Prospects for Convergence of Collective Redress Remedies in the European Union," 47 International Lawyer 101 (2014)
Number of pages: 23 Posted: 25 Jun 2014
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 112 (402,992)

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European Union, European Commission, collective redress, common legal principles, class action, convergence, member states

14.

The Role of the States in the Regulation of Private Placements

Kentucky Law Journal, Vol. 102, No. 4, 2013-4, University of Louisville School of Law Legal Studies Research Paper Series No. 2015-04
Number of pages: 61 Posted: 22 Jul 2014
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 103 (427,801)

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JOBS Act, private offerings, Form D, Regulation D, SEC, bad actors, bad actors rule, private placements, Jumpstart Our Business Startups Act, capital formation, job creation, Title II, Rule 506, Rule 506 exemption

15.

The Treatment of Reves 'Notes' and Other 'Securities' Under State Blue Sky Laws

The Business Lawyer, Vol. 47, No. 1, November 1991
Number of pages: 13 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 100 (436,706)

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securities, Uniform Securites Act, non-securities, State Blue Sky Laws, Reves v. Ernst & Young, SEC v. Howey, promissory note

16.

The Common Market Prospectus

Common Market Law Review, Vol. 26, p. 687-716, 1989
Number of pages: 30 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 88 (474,116)
Citation 1

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global securities market, investment risk, European Communities, European capital market, Listing Particulars Directive, Public Offer Prospectus Directive, common market prospectus, global harmony, securities regulation

17.

The Primary Liability of Securities Lawyers

Southern Methodist University Law Review, Vol. 50, No. 1, September-October 1996
Number of pages: 27 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 84 (487,907)

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securities lawyers, Securites Exchange Act of 1934, Rule 10b-5, Section 10b, Central Bank of Denver v. First Interstate Bank of Denver, securities offerings, investors, Rule 10b-5, misrepresentations, liability, standards

18.

Reflections on Dual Regulation of Securities: A Case Against Preemption

Boston College Law Review, Vol. XXV, No. 3, May 1984
Number of pages: 57 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 79 (505,774)

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securities, securities market, dual regulation, preemption, Securities Exchange Act of 1934, Securities Act of 1933, investor protection, capital formation, uniform regulatory schemes, securities regulation

19.

The Deconstruction of the Administrative Judiciary

45 Securities Regulation Law Journal 369 (2018), University of Louisville School of Law Legal Studies Research Paper Series No. 2018-1
Number of pages: 20 Posted: 12 Mar 2018 Last Revised: 10 May 2018
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 73 (529,151)

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administrative adjudication, administrative state, administrative law judges, Appointments Clause, inferior officers, Securities and Exchange Commission, securities regulation

20.

The Notice Requirement in Administrative Rulemaking: An Analysis of Legislative and Interpretive Rules

Administrative Law Review, Vol. 29, No. 3, Summer 1977
Number of pages: 34 Posted: 07 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 71 (537,345)

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Recommendation 76-5, Administrative Procedure Act of 1946, Federal Register, interpretive rules, substantive rule, regulations, securities, agency, legistative rules

21.

Foreward on Insider Trading Regulation

Alabama Law Review, Vol. 39, No. 2, Winter 1988
Number of pages: 14 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 70 (541,457)

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Securities Exchange Act of 1934, federal securities law, insider trading, Securities Exchange Commission, regulation

22.

Reflections on Dual Regulation of Securities: A Case for Reallocation of Regulatory Responsibilities

Washington University Law Quarterly, Vol. 78, No. 2, 2000
Number of pages: 16 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 66 (558,656)

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NSMIA, presale registration disclosures, issuers, merit review, private offerings, securities, securities transactions, dual regulation of securities, regulatory responsibilties, federal registration, regulatory uniformity

23.

The Common Law Fiduciary Duties of Business Owners

University of Louisville Law Review, Vol. 58, 2020
Number of pages: 28 Posted: 18 Sep 2020
Elizabeth Penn and Manning G. Warren
University of Louisville, Louis D. Brandeis School of Law, Students and University of Louisville - Louis D. Brandeis School of Law
Downloads 63 (572,155)

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24.

Federalism and Investor Protection: Constitutional Restraints on Preemption of State Remedies for Securities Fraud

Law and Contemporary Problems, Vol. 60, Nos. 3&4, Summer/Autumn 1997
Number of pages: 34 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 61 (581,242)
Citation 1

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regulatory system, securities markets, securities, regulation, uniform standards, Private Securities Litigation Reform Act of 1995, National Securities Market Improvement Act of 1996, Securities Litigation Uniform Standards Act of 1998, preemption, investor protection, federalism

25.

The False Promise of Publicly Offered Private Placements

SMU Law Review, Vol. 68, 2015, University of Louisville School of Law Legal Studies Research Paper Series No. 2017-6
Number of pages: 24 Posted: 17 Mar 2017 Last Revised: 02 Jun 2017
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 54 (616,059)

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private placements, general solicitation, crowdfunding, verified accredited investors, self-certified accredited investors, accredited strangers, capital formation, exempt offerings, covered securities

26.

The Status of the Marketplace Exemption from State Securities Registration

Business Lawyer , Vol. 41, No. 4, August 1986
Number of pages: 16 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 47 (654,493)

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securities registration, marketplace exemption, Uniform Securities Act of 1956, NYSE, AMEX, NASAA, NASD, NASDAQ, Securities and Exchange Commission, state registration

27.

Who's Suing Who? A Commentary on Investment Bankers and the Misappropriation Theory

Maryland Law Review, Vol. 46, No. 4, 1987
Number of pages: 27 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 47 (654,493)

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investment bankers, misappropriation theory, insider trading, securities, securities regulation, breach of duty, Rule 10b-5, Securities Exchange Commission, legislative reform, nonpublic information

28.

A Birthday Toast to 'Texas Gulf Sulphur'

SMU Law Review, Vol. 71, No. 3, 2018, University of Louisville School of Law Legal Studies Research Paper Series No. 2019-06
Number of pages: 14 Posted: 30 Apr 2019 Last Revised: 17 Sep 2019
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 44 (672,102)

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securities law, insider trading, SEC, disclosure

29.

Developments in State Takeover Regulation: Mite and its Aftermath

The Business Lawyer, Vol. 40, No. 2, February 1985
Number of pages: 39 Posted: 23 Apr 2011 Last Revised: 10 Sep 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 43 (678,285)
Citation 1

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securities, state securities law, equity securities, governmental regulation, Williams Act

30.

Euroequity Offerings: A Preliminary Note on Worldwide Regulatory Harmony

Gestion 2000 Management & Prospective, Vol. 5, No. 2, 1989
Number of pages: 13 Posted: 08 Jun 2010 Last Revised: 27 Mar 2011
Manning G. Warren
University of Louisville - Louis D. Brandeis School of Law
Downloads 34 (738,315)

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international regulation, Euroequity, regulatory harmonization, offerings, regulation, distributions