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This book draws extensively on my prior publications in this area, notably “Licensing the Word on the Street: The SEC’s Role in Regulating Information,” Buffalo Law Review 55, no. 1 (2007): 1–90, and “Regulating Informational Intermediation,” American University Business Law Review 1, no. 1 (2011): 58–92. I have also drawn upon the following: “Principles for Publicness,” Florida Law Review 67 (2015 forthcoming); “Proprietary Trading: Of Scourges, Scapegoats, and Scofflaws,” University of Cincinnati Law Review 81, no. 2 (2012): 387–420; “Transnational Capital Market Regulation and the Role of the Stock Exchange,” in Beyond Territoriality: Transnational Legal Authority in an Age of Globalization, eds. Günther Handl et al. (Leiden: Martinus Nijhoff, 2012): 373–409; “Investment Recommendations and the Essence of Duty,” American University Law Review 60, no. 2 (2011): 1265–1338; “Requiem for the Bulge Bracket? Revisiting Investment Bank Regulation, “Indiana Law Journal 85, no. 3 (2010): 777–850; “Choice of Law and Capital Markets Regulation,” Tulane Law Review 82, no. 5 (2008): 1903–48; “Self and Self-Regulation: Resolving the SRO Identity Crisis,” Brooklyn Journal of Corporate, Financial and Commercial Law 1, no. 2 (2007): 317–54; and “Demythologizing the Stock Exchange: Reconciling Self-Regulation and the National Market System,” University of Richmond Law Review 39, no. 4 (2005): 1069–1154.
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