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ALLAN HORWICH

2022

Working Papers

2021

Articles

2019

Articles

2018

Articles

2017

Articles

2016

Articles

  • The Legality of Opportunistically Timing Public Company Disclosures in the Context of SEC Rule 10b5-1, 71 Business Lawyer 1113 (2016).

Op-Eds/Blog Posts/Popular Press

Working Papers

2015

Articles

  • The Mosaic Theory of Materiality – Does the Illusion Have a Future?, 43 Securities Regulation Law Journal 129 (2015).

2014

Op-Eds/Blog Posts/Popular Press

  • Insider Trading and Regulatory Overreach, San Francisco Daily Journal, 8 (Nov. 20, 2014).

Working Papers

2012

Articles

  • An Inquiry into the Perception of Materiality as an Element of Scienter under Rule 10b-5, 67 Business Lawyer 1 (2011).

2011

Working Papers

2010

Articles

  • 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? , Securities Law Review 2010 (2010).

2009

Articles

  • Role of Rule 10b5-1 Plans in Securities Litigation , Securitieslaw360 (January 12, 2009).

2007

Articles

  • The Origin, Application, Validity, and Potential Misuse of Rule 10b5-1, 62 Business Lawyer 913 (2007).
  • Pleading Reform or Unconstitutional Encroachment? An Analysis of the Seventh Amendment Implications of the Private Securities Litigation Reform Act, 35 Securities Regulation Law Journal 1 (2007) (Co-authored by: Sean Siekkinen ).
  • The Federal Enforcement Framework Pertinent to the Energy Markets , Energy Antitrust News 9-29 (Winter 2006).

2006

Articles

  • Warnings to the Unwary: Multi-Jurisdictional Federal Enforcement of Manipulation and Deception in the Energy Markets After the Energy Policy Act of 2005 , 27 Energy Law Journal 363 (2006).
  • The Clinical Trial Research Participant as an Inside Trader: A Legal and Policy Analysis, 39 Journal of Health Law 77 (2006).

2004

Articles

  • Is There a Breach in the Breakwater of the Statutory Safe Harbor for Forward-Looking Statements? [re Asher v. Baxter Int'l, 7th Cir.], 8 Wall Street Lawyer No. 4 19 (September 2004).
  • New Form 8-K and Real-Time Disclosure, 37 Review of Securities and Commodities Regulation 109 (June 16, 2004).
  • Initial Ruminations on Insider Trading in the Mutual Fund Scandal, 7 Wall Street Lawyer No. 7 at 1 (December 2003).
  • The Role and Responsibilities of Audit Committees, Banking & Financial Services Policy Report no. 11, at 1 (November 2003).
  • A Primer on SEC Rule 10b-5-1: Affirmative Defenses for Insider Trading, 41 The Corporate Lawyer (isba) no. 4, at 3 (November 2003) (Co-authored by: Andrew Klein).
  • Audit Committees (updated version December 2003).

2003

Articles

  • Special Litigation Committees: Who the Members Are May Be More Important Than What the Committee Does, 7 Wall Street Lawyer No. 2 23 (July 2003).
  • Audit Committees.
  • SEC Update: More Sarbanes-Oxley Rules: Benefit Plan Blackouts and Financial Experts, 6 Wall Street Lawyer No. 10 23 (March 2003).
  • New Requirements for Disclosure of Financial Condition Under the Federal Securities Laws, 35 Review of Securities & Commodities Regulation 243-253 (November 27, 2002).

2002

Books

  • When Does Proper Accounting Treatment Amount To Securities Fraud? (Securities Enforcement and Litigation, American Conference Institute September 2002).

Articles

  • SEC Update: The Advance of Shareholder Democracy: Adopted and Impending Actions Enhancing Shareholder Knowledge and Voting Power, 6 Wall Street Lawyer no. 6 at 18 (November 2002).
  • Section 11 of the Securities Act: The Cornerstone Needs Some Tuckpointing, 58 The Business Lawyer 1-44 (November 2002).
  • Securities Laws and the Audit Committee in the Post-Enron World, 6 Wall Street Lawyer No. 2 p.7 (July, 2002).
  • Careful Pleading Can Avoid the Fatal Impact of the Securities Litigation Uniform Standards Act, 5 Wall Street Lawyer 1 (March 2002).
  • SEC Update: The Unger Study: The Controversy over Regulation FD Continues, 5 Wall Street Lawyer No. 9 p.13 (February 2002).

2001

Articles

  • SEC Update; The Spotlight Shines on Analyst Conflicts of Interest, 5 Wallstreetlawyer.com no. 3 (August 2001) .
  • SEC Update: Recent Case Highlights Liability Implications of EDGAR Rules, 5 Wallstreetlawyer.com 20 (June, 2001) .
  • Insider Trading After SEC Rule 10b-5 reprinted from National Law Journal, January 22, 2001, 11 Securities Reform Act Litigation Reporter 148-151 (May 2001) .
  • SEC Update: the SEC Learns That the Securities Laws Do Have Limits, 11, no. 4 Wallstreetlawyer.com 19 (April 2001) .

Op-Eds/Blog Posts/Popular Press

  • Corporate Insiders Given a 'Break' Under New Rule: Rule 10b5-1 Has An Awareness Test and Offers Some Flexibility and Certainty for Trading, National Law Journal, page B10 (January 22, 2001) .

2000

Articles

  • SEC Update: Internet Auctions of Securities Approved in No-Action Letters, 4 Wallstreetlawyer.com No. 5 26 (October, 2000) .
  • The Neglected Relationship of Materiality and Recklessness in Actions Under Rule 10b-5, 55 Business Lawyer 1023-1038 (2000) .
  • Regulation S-P--Privacy of Consumer Financial Information, 4 Wallstreetlawyer.com 30 (August 2000) (Co-authored by: Lisa Matyas) .

1997

Articles

  • Possession Versus Use: Is There a Causation Element in the Prohibition on Insider Trading?, The Business Lawyer (August 1997).