James D. Cox

Brainerd Currie Distinguished Professor of Law

School of Law

cox@law.duke.edu

Duke Law School Room 4184, Duke Box 90362, Durham, NC 27708-0360

Duke Law School 210 Science Dr, Duke Box 90362, Durham, NC 27708

More About This Person

At a Glance

Credentials
1. Education

Academic Experience
1. Current Appointments & Affiliations

Expertise
1. Global Scholarship

Research
1. Selected Grants

Publications
1. Selected Publications

Artistic Works / Events

Teaching
1. Recent Courses

Advising & Mentoring

Recognition
1. In the News

Professional Activities

Selected Publications

SOX's Impact on the Quality of Financial Reporting

Journal Article Business Lawyer · 2023 Cite

Addendum: Recent Developments in the “Tools at Hand” Doctrine

Chapter · 2023 Link to item Cite

Securities Regulation: Cases and Materials

Book · 2022 Link to item Cite

Will It Float?: The Legitimacy of the SEC’s Authority for Climate Risk Disclosures

Other CLS Blue Sky Blog · 2022 Cite

Will the SEC’s Proposed Climate Disclosure Rule Come Up against Legal and Economic Challenges?

Other Resources · 2022 Cite

Corporations

Book · 2021 Link to item Cite

A Revised Monitoring Model Confronts Today's Movement Toward Managerialism

Journal Article Texas Law Review · 2021 Link to item Cite

The SEC's Shareholder Proposal Rule: Creating a Corporate Public Square

Journal Article Columbia Business Law Review · 2021 Link to item Cite

Business Organizations Law

Book · 2020 Link to item Cite

The Paradox of Delaware's 'Tools at Hand' Doctrine: An Empirical Investigation

Journal Article Business Lawyer · 2020 Link to item Cite

Resisting the Return to Managerialism: Institutionalizing the Shareholder Voice in the Monitoring Model

Journal Article · 2020 Link to item Cite

Business Organizations: Cases and Materials

Book · 2019 Link to item Cite

Understanding the (Ir)Relevance of Shareholder Votes on M&A Deals

Journal Article Duke Law Journal · 2019 Link to item Cite

Revolving Elites: The Unexplored Risk of Capturing the SEC

Journal Article Georgetown Law Journal · 2019 Link to item Cite

Introduction: Professor Randall Thomas's Depolarizing and Neutral Approach to Shareholder Rights

Journal Article Vanderbilt Law Review · 2019 Cite

Financial Reporting Fraud and Other Forms of Misconduct: A Multidisciplinary Review of the Literature

Journal Article Review of Accounting Studies · 2018 Cite

Delaware's Retreat: Exploring Developing Fissures and Tectonic Shifts in Delaware Corporate Law

Journal Article Delaware Journal of Corporate Law · 2018 Link to item Cite

Seeking an Objective for Regulating Insider Trading Through Texas Gulf Sulphur

Journal Article SMU Law Review · 2018 Link to item Cite

Addressing the “Baseless” Shareholder Suit: Mechanisms and Consequences

Chapter · 2018 Cite

The Evolution in the U.S. of Private Enforcement via Litigation and Monitoring Techniques: Are There Lessons for Germany?

Chapter · 2018 Cite

Curbing Managerial Agency Costs: Private Litigation and Its Substitutes in the US

Chapter · 2017 Cite

Quieting the Shareholders' Voice: Empirical Evidence of Pervasive Bundling in Proxy Solicitations

Journal Article Southern California Law Review · 2016 Link to item Cite

Corporate Darwinism: Disciplining Managers in a World with Weak Shareholder Litigation

Journal Article North Carolina Law Review · 2016 Link to item Cite

How Understanding the Nature of Corporate Norms Can Prevent Their Destruction by Settlements

Journal Article Duke Law Journal · 2016 Link to item Cite

Iterative Regulation of Securities Markets After Business Roundtable: A Principles-Based Approach

Journal Article Law & Contemporary Problems · 2015 Link to item Cite

Tweaking Governance for Small Companies after Dodd-Frank

Chapter · 2015 Cite

Corporate Law and the Limits of Private Ordering

Journal Article Washington University Law Review · 2015 Link to item Cite

"We're Cool" Statements After Omnicare: Securities Fraud Suits for Failures to Comply with the Law

Journal Article SMU Law Review · 2015 Link to item Cite

Addressing Agency Costs Through Private Litigation in the U.S.: Tensions, Disappointments, and Substitutes

Journal Article · 2015 Link to item Cite

Whose Law Is It? Battling Over Turf in Shareholder Litigation

Chapter · 2015 Link to item Cite

Foreword: The administrative law of financial regulation

Journal Article Law and Contemporary Problems · January 1, 2015 Cite

Foreword

Journal Article Law & Contemporary Problems · 2015 Open Access Link to item Cite

Who Can't Raise Capital? The Scylla and Charybdis of Capital Formation

Journal Article Kentucky Law Journal · 2014 Link to item Cite

Understanding Causation in Private Securities Lawsuits: Building on Amgen

Journal Article Vanderbilt Law Review · 2013 Link to item Cite

Fraud on the Market After Amgen

Journal Article Duke Journal of Constitutional Law & Public Policy · 2013 Link to item Cite

Strengthening Financial Reporting: An Essay on Expanding the Auditor's Opinion Letter

Journal Article George Washington Law Review · 2013 Link to item Cite

Stepping Back: US Congress Deregulates Its Securities Law

Journal Article Australian Law Journal · 2012 Cite

Corporation Law

Book · 2012 Link to item Cite

Extraterritorial Reach of the US Financial Laws

Chapter · 2012 Cite

The Emperor Has No Clothes: Confronting the D.C. Circuit's Usurpation of SEC Rulemaking Authority

Journal Article Texas Law Review · 2012 Link to item Cite

Foreword: Access to Justice

Journal Article Law & Contemporary Problems · 2012 Link to item Cite

Foreword: The Model Business Corporation Act at Sixty

Journal Article Law & Contemporary Problems · 2011 Link to item Cite

The Paradoxes of Dodd-Frank

Journal Article Australian Law Journal · 2011 Link to item Cite

Corporations and Other Business Organizations: Cases and Materials

Book · 2011 Link to item Cite

Securities Class Actions as Public Law

Journal Article University of Pennsylvania Law Review PENNumbra · 2011 Link to item Cite

Mapping the American Shareholder Litigation Experience: A Survey of Empirical Studies of the Enforcement of the U.S. Securities Law

Journal Article European Company & Financial Law Review · 2010 Link to item Cite

The Market Reaction to Legal Shocks and Their Antidotes: Lessons From The Sovereign Debt Market

Journal Article Journal of Legal Studies · 2010 Link to item Cite

The Law of Corporations

Book · 2010 Link to item Cite

How Delaware Law Can Support Better Corporate Governance

Chapter · 2010 Cite

The Market Reaction to Legal Shocks and Their Antidotes: Lessons From The Sovereign Debt Market

Journal Article Journal of Legal Studies · 2010 Link to item Cite

Lying and Getting Caught: An Empirical Study of the Effect of Securities Class Action Settlements on Targeted Firms

Journal Article University of Pennsylvania Law Review · 2010 Link to item Cite

Do Differences in Pleading Standards Cause Forum Shopping in Securities Class Actions?: Doctrinal and Empirical Analyses

Journal Article Wisconsin Law Review · 2009 Link to item Cite

Coping in a Global Marketplace: Survival Strategies for a 75-Year-Old SEC

Journal Article Virginia Law Review · 2009 Link to item Cite

Reinventing the SEC by Staring Into Its Past

Journal Article University of Cincinnati Law Review · 2009 Link to item Cite

Financial Regulation in a Global Market Place: Report of the Duke Global Capital Markets Roundtable

Journal Article Duke Journal of Comparative & International Law · 2008 Link to item Cite

There Are Plaintiffs and ... There Are Plaintiffs: An Empirical Analysis of Securities Class Action Settlements

Journal Article Vanderbilt Law Review · 2008 Link to item Cite

New Wind Blows Across US Securities Regulatory Landscape

Journal Article Australian Law Journal · 2007 Cite

SOX Gets a Bad Rap

Journal Article Executive Counsel · 2007 Cite

In Appreciation: Katharine T. Bartlett

Journal Article Duke Law Journal · 2007 Link to item Cite

In Appreciation: Katharine T. Bartlett

Journal Article Duke Law Journal · 2007 Link to item Cite

The Role Of Empirical Evidence In Evaluating The Wisdom Of The Sarbanes-Oxley Act

Journal Article University of San Francisco Law Review · 2006 Link to item Cite

Fair Pay for Chief Executive Officers: Maximizing Firm Value by Minimizing Income Disparity

Chapter · 2006 Link to item Cite

The Oligopolistic Gatekeeper: The U.S. Accounting Profession

Chapter · 2006 Link to item Cite

Does the Plaintiff Matter?: An Empirical Analysis of Lead Plaintiffs in Securities Class Actions

Journal Article Columbia Law Review · 2006 Link to item Cite

Mutual Fund Expense Disclosures: A Behavioral Perspective

Journal Article Washington University Law Quarterly · 2005 Link to item Cite

Reforming the Regulation of Public Offerings of Securities in the United States

Journal Article Australian Law Journal · 2005 Cite

Public and Private Enforcement of the Securities Laws: Have Things Changed Since Enron?

Journal Article Notre Dame Law Review · 2005 Link to item Cite

Letting Billions Slip Through Your Fingers: Empirical Evidence and Legal Implications of the Failure of Financial Institutions To Participate in Securities Class Action Settlements

Journal Article Stanford Law Review · 2005 Link to item Cite

Corporations

Book · 2004 Link to item Cite

SEC Enforcement Heuristics: An Empirical Inquiry

Journal Article Duke Law Journal · 2004 Link to item Cite

The Expanding Scope of the Director's Fiduciary Duty of Loyalty in the U.S.

Journal Article · 2003 Cite

Managing and Monitoring Conflicts of Interest: Empowering the Outside Directors With Independent Counsel

Journal Article Villlanova Law Review · 2003 Link to item Cite

Reforming the Culture of Financial Reporting: The PCAOB and the Metrics for Accounting Measurements

Journal Article Washington University Law Quarterly · 2003 Link to item Cite

United States Securities Laws Enter New Terrain: Corporate Governance and Attorney Responsibilities After Sarbanes-Oxley

Journal Article Australian Law Journal · 2003 Cite

Cox & Hazen on Corporations: Including Unincorporated Forms of Doing Business

Book · 2003 Link to item Cite

Corporations

Book · 2003 Cite

Leaving Money on the Table: Do Institutional Investors Fail to File Claims in Securities Class Actions?

Journal Article Washington University Law Quarterly · 2002 Link to item Cite

The Paradoxical Corporate and Securities Law Implications of Counsel Serving on the Client's Board

Journal Article Washington University Law Quarterly · 2002 Link to item Cite

Corporate Governance in the United States: The Evolving Role of the Independent Board

Chapter · 2002 Cite

United States Introduces Fair Disclosure and Insider Trading Reforms

Journal Article Australian Law Journal · 2001 Cite

Brands vs. Generics: Self-Regulation by Competitors

Journal Article Columbia Business Law Review · 2000 Link to item Cite

Summary of Roundtable Discussions Regarding The Future Content of the U.S. Securities Laws

Journal Article Law & Contemporary Problems · 2000 Link to item Cite

Premises for Reforming the Regulation of Securities Offerings: An Essay

Journal Article Law & Contemporary Problems · 2000 Link to item Cite

The Social Meaning of Shareholder Suits

Journal Article Brooklyn Law Review · 1999 Link to item Cite

Regulatory Duopoly for U.S. Securities Markets

Journal Article Columbia Law Review · 1999 Link to item Cite

Globalization's Challenges to the United States Securities Laws

Journal Article Canterbury Law Review · 1998 Link to item Cite

United States v. O'Hagan: Completing the Insider Trading Mosaic

Journal Article Australian Law Journal · 1998 Cite

Making Securities Fraud Class Actions Virtuous

Journal Article Arizona Law Review · 1998 Link to item Cite

Choice of Law Rules for International Securities Transactions?

Journal Article University of Cincinnati Law Review · 1998 Link to item Cite

Private Litigation and the Deterrence of Corporate Misconduct

Journal Article Law & Contemporary Problems · 1997 Link to item Cite

Piercing the Corporate Veil in Limited Liability Companies

Journal Article Limited Liability Corporation Journal · 1997 Cite

Equal Treatment for Shareholders: An Essay

Journal Article Cardozo Law Review · 1997 Link to item Cite

The Fundamentals of an Electronic-Based Federal Securities Act

Journal Article Washington University Law Quarterly · 1997 Link to item Cite

Just Deserts for Accountants and Attorneys After Bank of Denver

Journal Article Arizona Law Review · 1997 Link to item Cite

Corporations

Book · 1997 Link to item Cite

Addressing Fraudulent Practices Within the Framework of the United States Securities Laws

Chapter · 1997 Cite

Corporations

Book · 1995 Link to item Cite

An Economic and American Perspective on Insider Trading Regulation in Australia and New Zealand

Chapter · 1995 Cite

Regulatory Competition in Securities Markets: An Approach for Reconciling Japanese and United States Disclosure Philosophies

Journal Article Hastings International and Comparative Law Review · 1993 Link to item Cite

The ALI, Insitutionalization and Disclosure: The Quest for the Outside Director's Spine

Journal Article George Washington Law Review · 1993 Link to item Cite

INTERNATIONAL REGULATORY COMPETITION AND THE SECURITIES-LAWS - FOREWORD

Journal Article LAW AND CONTEMPORARY PROBLEMS · September 1, 1992 Link to item Cite

Foreword (Symposium on International Regulatory Competition and the Securities Laws)

Journal Article Law & Contemporary Problems · 1992 Link to item Cite

The Monitoring Duties of Directors Under the EC Directives: A View from the United States Experience

Journal Article Duke Journal of Comparative & International Law · 1992 Link to item Cite

Rethinking U.S. Securities Laws in the Shadow of International Regulatory Competition

Journal Article Law & Contemporary Problems · 1992 Link to item Cite

Challenging the Jurisdictional Assumptions Underlying the Broad Application of the Registration Requirements of America's Securities Act

Chapter · 1991 Cite

An Economic Perspective of Insider Trading Regulation and Enforcement in New Zealand

Journal Article Canterbury Law Review · 1990 Cite

An Outsider's Perspective of Insider Trading Regulation in Australia

Journal Article Sydney Law Review · 1990 Link to item Cite

Book Review

Journal Article Trial · 1990 Cite

Changing Perceptions into Reality: Fiduciary Standards to Match the American Directors' Monitoring Function

Journal Article Bond Law Review · 1989 Link to item Cite

Insider Trading: Regulation of Activity is "In Trouble"

Journal Article Trial · 1988 Cite

Choices: Paving the Road Toward a "Definition" of Insider Trading

Journal Article Alabama Law Review · 1988 Link to item Cite

Heroes in the Law: Alford v. Shaw

Journal Article North Carolina Law Review · 1988 Link to item Cite

Sum and Substance of Corporations

Book · 1988 Link to item Cite

The Criminalization of Insider Trading

Other Duke Law Magazine · 1988 Cite

Insider Trading Regulation and the Production of Information: Theory and Evidence

Journal Article Washington University Law Quarterly · 1986 Link to item Cite

Insider Trading and Contracting: "A Critical Response to the Chicago School"

Journal Article Duke Law Journal · 1986 Link to item Cite

Bias in the Boardroom: Psychological Foundations and Legal Implications of Corporate Cohesion

Journal Article Law & Contemporary Problems · 1985 Link to item Cite

Swenson v. Thibaut: Framework for Protecting the Corporate Interest

Journal Article Notes Bearing Interest · 1984 Cite

Compensation, Deterrence, and the Market as Boundaries for Derivative Suit Procedures

Journal Article George Washington Law Review · 1984 Link to item Cite

The Business Judgment Rule in the Context of Termination of Derivative Suits by Independent Committees

Journal Article North Carolina Law Review · 1983 Cite

Josephson's Essential Principles of Corporations

Book · 1982 Link to item Cite

Searching for the Corporation's Voice in Derivative Suit Litigation: A Critique of Zapata and the ALI Project

Journal Article Duke Law Journal · 1982 Link to item Cite

Convertible Debentures and Corporate Freezeouts

Journal Article Corporation Law Review · 1980 Cite

Financial Information, Accounting, and the Law: Cases and Materials

Book · 1980 Link to item Cite

Minority Plebiscites in Merger Freezeouts

Journal Article Corporation Law Review · 1979 Cite

Disclosure of Information Unrelated to Decision-Making

Journal Article Corporation Law Review · 1978 Cite

The Emerging Definition of "Irreparable Harm" Under the Williams Act

Journal Article Corporation Law Review · 1978 Cite

Synergy and the Payment of Premiums in Corporate Acquisitions

Journal Article Corporation Law Review · 1978 Cite

Ernst & Ernst v. Hochfelder: A Critique and an Evaluation of Its Impact upon the Scheme of the Federal Securities Law

Journal Article Hastings Law Journal · 1977 Link to item Cite

Fraud is in the Eyes of the Beholder: Rule 10b-5's Application to Acts of Corporate Mismanagement

Journal Article New York University Law Review · 1975 Link to item Cite