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Articles 1 - 12 of 12
Full-Text Articles in Law
Mismatching Convertible Debentures And Common Stock Under Section 16(B), Daniel B. Bogart
Mismatching Convertible Debentures And Common Stock Under Section 16(B), Daniel B. Bogart
Duke Law Journal
No abstract provided.
Kicking The Bucket Shop: The Model State Commodity Code As The Latest Weapon In The State Administrator's Anti-Fraud Arsenal, Julie M. Allen
Kicking The Bucket Shop: The Model State Commodity Code As The Latest Weapon In The State Administrator's Anti-Fraud Arsenal, Julie M. Allen
Washington and Lee Law Review
No abstract provided.
Hedging The Value Of Collective Assets: Financial Institutions Excluded From Regulation As Commodity Pool Operators Under The Commodity Exchange Act, Carl B. Wilkerson
Hedging The Value Of Collective Assets: Financial Institutions Excluded From Regulation As Commodity Pool Operators Under The Commodity Exchange Act, Carl B. Wilkerson
Washington and Lee Law Review
No abstract provided.
Liability Of Financial Institutions For Aiding And Abetting Violations Of Securities Laws, Sally Totten Gilmore, William H. Mcbride
Liability Of Financial Institutions For Aiding And Abetting Violations Of Securities Laws, Sally Totten Gilmore, William H. Mcbride
Washington and Lee Law Review
No abstract provided.
Self-Regulation Of The Securities Markets: A Critical Examination, Sam Scott Miller
Self-Regulation Of The Securities Markets: A Critical Examination, Sam Scott Miller
Washington and Lee Law Review
No abstract provided.
Predispute Agreements To Arbitrate Claims Arising Under The Commodity Exchange Act
Predispute Agreements To Arbitrate Claims Arising Under The Commodity Exchange Act
Washington and Lee Law Review
No abstract provided.
Express Versus Automatic Assignment Of Section 10(B) Causes Of Action, David C. Profilet
Express Versus Automatic Assignment Of Section 10(B) Causes Of Action, David C. Profilet
Duke Law Journal
In Lowry v. Baltimore & Ohio Railroad, 1 the United States Court of Appeals for the Third Circuit considered whether the owner of a security may assert his seller's section 10(b) cause of action if the current owner did not receive an express assignment of the seller's rights. 2 That is, if the seller of a security has a section 10(b) claim, does the seller's cause of action "run with the security" so that the seller's purchaser takes the seller's cause of action by automatic assignment, or must the purchaser secure an express assignment of the seller's cause of action …
Units Of Participation In Ira Common Trust Funds Offered By Commercial Banks: A Violation Of The Glass-Steagall Act, Jeffrey L. Elverman
Units Of Participation In Ira Common Trust Funds Offered By Commercial Banks: A Violation Of The Glass-Steagall Act, Jeffrey L. Elverman
Notre Dame Law Review
No abstract provided.
Secrecy And Blocking Laws: A Growing Problem As The Internationalization Of Securities Markets Continues, Rochelle G. Kauffman
Secrecy And Blocking Laws: A Growing Problem As The Internationalization Of Securities Markets Continues, Rochelle G. Kauffman
Vanderbilt Journal of Transnational Law
This Note examines the problems recently faced by the SEC in policing securities transactions effected by foreign financial institutions in jurisdictions with secrecy and blocking laws, and it proposes both a short-term solution and a long-term solution to the SEC's enforcement problems. Part II of the Note outlines the problems confronting the SEC, specifically addressing the growing internationalization of securities markets and the effects on United States markets. This section also examines the problems confronting the SEC as a result of secrecy and blocking laws, and it suggests that unless new enforcement procedures are developed, these problems will increase when …
Limited Partnership Interests As Securities Under Revised Article 8 Of The Uniform Commercial Code, Myra Mitzman
Limited Partnership Interests As Securities Under Revised Article 8 Of The Uniform Commercial Code, Myra Mitzman
Fordham Law Review
No abstract provided.
Arbitration In The Securities Industry: Too Much Of A Good Thing, David A. Lipton
Arbitration In The Securities Industry: Too Much Of A Good Thing, David A. Lipton
Journal of Dispute Resolution
The study upon which this article is based was conducted in response to the explosive growth of the use of arbitration in the securities industry as a means of resolving broker/customer disputes. The study was designed to investigate whether the use that is being made of arbitration is efficient and, if inefficiencies were found, what procedures might be employed to screen out inefficient use
Industrial Development Bond Financing After The Deficit Reduction Act Of 1984: The Final Chapter?, Scott W. Bernstein
Industrial Development Bond Financing After The Deficit Reduction Act Of 1984: The Final Chapter?, Scott W. Bernstein
Fordham Urban Law Journal
Approximately sixteen years after Congress purportedly divested industrial development bonds (IDB) of the general tax exemption accorded interest on state and local obligations, President Reagan signed into law the Deficit Reduction Act of 1984 (1984 Act) which contains a substantial number of provisions affecting IDB financing. Title VII of the 1984 Act places a ceiling on the total dollar amount of IDBs that each state can issue per calendar year, further restricts the use of tax-exempt IDB proceeds, and eliminates various loopholes in the Internal Revenue Code pertaining to IDBs. Coincidentally, on November 27, 1984, the Treasury Department, in its …