Open Access. Powered by Scholars. Published by Universities.®
- Keyword
-
- Securities fraud (3)
- Securities law (3)
- Disclosure (2)
- Securities (2)
- Securities exchange act (2)
-
- Chevron u.s.a. inc. v. natural resources defense council (1)
- Condominiums (1)
- Hocking v. dubois (1)
- Insider trading (1)
- Ninth Circuit Survey (1)
- Private securities litigation reform act of 1995 (1)
- Real estate (1)
- Resorts (1)
- Sanctions law (1)
- Sec v. rind (1)
- Statute of limitations (1)
- Stock redemption (1)
- Timeshares (1)
- United states securities and exchange commission (1)
Articles 1 - 11 of 11
Full-Text Articles in Law
Sec V. Talbot: The "Misappropriation-Plus" Theory, Kalina Laleva
Sec V. Talbot: The "Misappropriation-Plus" Theory, Kalina Laleva
Golden Gate University Law Review
No abstract provided.
The Sec And The Extent Of Its Power To Sanction: An Analysis Of Teicher V. Securities And Exchange Commission - Did The Court Correctly Apply Chevron V. Natural Resources Defense Council To A Matter Of Agency Interpretation?, Rose Arce
Golden Gate University Law Review
This note will address two primary issues in analyzing Teicher. The first is whether the SEC has the authority within its sanctioning power, specifically under Section 15(b)(6) of the Exchange Act, to impose collateral limitations on a person who violates the Exchange Act, such as preventing that person from utilizing his or her license in another branch of the securities industry. The second is whether the SEC has the authority within its sanctioning power, specifically under Section 203(f) of the Advisers Act, to bar a person who violates the Adviser's Act from associating or seeking to become associated with an …
Private Securities Litigation Reform Act Of 1995: Do Issuers Still Get Soaked In The Safe Harbor?, Noelle Matteson
Private Securities Litigation Reform Act Of 1995: Do Issuers Still Get Soaked In The Safe Harbor?, Noelle Matteson
Golden Gate University Law Review
This Comment will examine the background and development of protection for forward-looking statements through the SEC, the courts and Congress. Following this background examination, Part III will focus on the recently passed Reform Act. This discussion will consider the arguments made by opponents and proponents of the Reform Act, the effects of this act and whether it is encouraging disclosure by issuers and protecting the same issuers from frivolous lawsuits.
Securities Law - Securities & Exchange Commission V. Rind: Sec Civil Enforcement Actions Are Not Subject To Statute Of Limitations, Joan E. Low
Golden Gate University Law Review
In Securities & Exchange Commission v. Rind, the United States Court of Appeals for the Ninth Circuit, ruling on an issue of first impression, held that civil enforcement actions brought by the Securities and Exchange Commission (hereinafter "SEC") are not subject to statute of limitations restrictions. Additionally, the court ruled that no right to a jury trial attaches in SEC civil enforcement actions seeking disgorgement of illicit profits.
Securities Law - Mccormick V. Fund American Companies: Altering The Total Mix Of Information Made Available During Disclosure In Corporate Repurchases Of Stock, David E. Wanis
Golden Gate University Law Review
In McCormick v. Fund American Companies, the Ninth Circuit granted summary judgment to defendant corporation over plaintiff shareholder's claim that defendant had violated the Securities Exchange Act by misrepresenting or omitting material information during negotiations to repurchase stock from plaintiff. The court found that in light of plaintiff's status as a "sophisticated business executive," defendant's alleged misrepresentations and omissions did not "significantly alter the total mix of information made available" concerning the contemplated sale of a subsidiary company of defendant corporation.
Securities Law, Peter A. Maclaren
Securities Law, Peter A. Maclaren
Golden Gate University Law Review
In Hocking v. Dubois, the Ninth Circuit held that where an arrangement to sell a condominium included an option to participate in a rental pool arrangement ("RPA"), the arrangement constituted an investment contract. Consequently, what appeared to be a simple sale of real estate was subject to the provisions of the federal securities laws including the antifraud provisions of Rule I0b-5. This note will examine the rationale supporting the Ninth Circuit's application of securities law to condominium sales, examine the application of rules limiting private causes of action, and analyze the issues presented by the facts of Hocking.
Securities Law, Peter A. Mastromonaco
Securities Law, Peter A. Mastromonaco
Golden Gate University Law Review
No abstract provided.
Fraud On The Market: The Decline Of Reliance In A 10b-5 Action, M. Lynn Haggerty
Fraud On The Market: The Decline Of Reliance In A 10b-5 Action, M. Lynn Haggerty
Golden Gate University Law Review
Since the Supreme Court's decision in Affiliated Ute Citizens v. United States, l there has been considerable variation among the circuits regarding the requirement of reliance as an element of an action under rule 10b-5 of the federal securities regulations. The differences seem to stem from a disagreement as to the underlying purposes of the securities regulations. While the regulations were established to force disclosure of material investment information and to maintain market stability, they were also designed to protect the investing public. In an attempt to reconcile these sometimes disparate purposes, one circuit has designed a theory since labeled …
Securities, Edward L. Knapp
State Sovereignty's Impact On Federal Regulation Of Municipal Securities, Margaret Berlese, Barbara E. Herzig
State Sovereignty's Impact On Federal Regulation Of Municipal Securities, Margaret Berlese, Barbara E. Herzig
Golden Gate University Law Review
No abstract provided.
Securities, Daniel V. Burke