Markets in Financial Instruments Directive – MiFID

This list details the MiFID references on this website.

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Books

• Olivier Blanchard, Macroeconomics (2006)
• Elís Ferran, Building an EU Securities Market (2004)
• Gallagher and Andrew, Financial Management and Mastering Finance (3rd ed. 2002)
• Benjamin Graham, The Intelligent Investor (1949).
• Investor Protection in Europe: Corporate Law Making, The MiFID and Beyond (ed. Ferrarini and Wymeersch (2006)
• Burton G. Malkiel, A Random Walk Down Wall Street 267-68 (2007)
• Paul Nelson, Capital Markets Law and Compliance: The Implications of MiFID (2008)

Articles

• John C. Coffee, Jr., Law and the Market: The Impact of Enforcement, 156 U. Pa. L. Rev. 229 (2007).
  Ross Levine and Sara Zervos, Stock Markets, Banks and Economic Growth, 81 Am. Econ. Rev. 537 (1998).
• Lynn A. Stout, The Unimportance of Being Efficient: An Economic Analysis of Stock Market Pricing and Securities Regulation, 87 Mich. L. Rev. 613 (1988).
• Rafael La Porta, Florencio Lopez-de-Silanes, Andrei Schleifer, and Robert W. Vishny, Law and Finance, 106 J. Pol. Econ. 1113 (1998).
• Iris H-Y Chiu, Securities Intermediaries in the Internet Age and the Traditional Principal-Agent Approach Model of Regulation: Some Observations from European Union Securities Regulation, 2 Va. L. & Bus. Rev. 307 (2007).
• Bernard S. Black, The Legal and Institutional Preconditions for Strong Securities Markets, 48 UCLA L. Rev. 781 (2001).
• Rafael La Porta, Florencio Lopez-de-Silanes, and Andrei Shleifer, What Works in Securities Law?, 61 J. Fin 1 (2006).
• Arthur Levitt, Best Execution, Price Transparency, and Linkages: Protecting the Investor Interest, 78 Wash. U. L. Q. 513, 518 (2000).
• Dale A. Oesterle, Regulation NMS: Has the SEC Exceeded Its Congressional Mandate to Facilitate a “National Market System” in Securities Trading?, 1 N.Y.U. J. L. & Bus. 613 (2005).
• Daniel M. Gray, Securities Market structure and Regulation, What Does the Future Hold?, 1 Brook. J. Corp. Fin. & Com. L. 395 (2007).
• Barbara Allemani, Giuseppe Lusignani and Marco Onado, The European Securities Industry: Further Evidence on the Roadmap to Integration, in Investor Protection in Europe (ed. Ferrarini and Wymeersch 199 (2006).
• Allen Ferrell, A Proposal for Solving The “Payment for Order Flow Problem”, 74 S. Cal. L. Rev. 1027 (2001)
• Johannes Kondgen and Erik Theissen, Internalisation under the MIFID: Regulatory Overreaching or Landmark in Investor Protection, in Investor Protection in Europe, at 271, 289. (2006).
• Note, Stock Option “Springloading”: An Examination of Loaded Justifications and New SEC Rules, 33 J. Corp. L. 777 (2008).
• Stephen M. Bainbridge, An Overview of US Insider Trading Law: Lessons for the EU?, Research Paper No. 05-5, UCLA School of Law (2004).
• Alcock, “United kingdom” in International Securities Regulation vol. 5, bklt. 1, 30 (R. Rosen ed. 1994).
• John J.A. Burke and John M. Cannel, Leases of Personal Property: A Project for Consumer Protection, 28 Harv. J. on Legis 115, 137 n.32 (1991).

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Legislation

• Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC.
• Directive 2006/73/EC of 10 August 2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirement and operating conditions for investment firms and defined terms for the purposes of the Directive.
• Regulation NMS, 17 CFR Parts 200, 201, 230,240, 242, 249, and 270 at 6 (2005).
• SEC Rules 11Ac-1-1; 11Ac1-4; and Rule 611.
• SEC, Disclosure of Order Execution and Routing Practices, 17 CFR Part 240.

Cases

• Pikoulas v. Kefalaiagoras, Case C-430/05 (2007)
• In re Cady, Roberts & Co., 40 S.E.C. 907 (1961)
• Chiarella v. U.S., 445 U.S. 222 (1980), and Dirks v. U.S., 463 U.S. 646 (1983).
• Newton v. Merrill Lynch, 135 F.3d 266 (3rd Cir.), cert. denied, 525 U.S. 811 (1998)
• U.S. v. O’Hagan, 521 U.S. 642 (1997).

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Miscellaneous

• Freshfields Bruckhaus Deringer, MiFID: Customer Classification, Suitability and Appropriateness, Briefing April 2006.
• Wall Street Journal, In U.K., 28% of Mergers Raise Alarms, C1 (April 30, 2008).