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Articles 1 - 14 of 14
Full-Text Articles in Securities Law
The New Insider Trading, Karen E. Woody
The New Insider Trading, Karen E. Woody
Scholarly Articles
Pursuant to the SEC’s Rule 10b-5, in order to obtain a conviction for insider trading based upon a tipper-tippee theory, the government must prove that the tipper received a personal benefit for the tip, and that the tippee knew about that benefit. The last five years of blockbuster insider trading cases have focused on this seemingly nebulous personal benefit test, and the Supreme Court has been unable to clear the muddy waters. As a result, the parameters of insider trading remain hard to pin down and often shift depending on the facts of the most recent case. Two terms ago, …
Myth Of The Attorney Whistleblower, Carliss N. Chatman
Myth Of The Attorney Whistleblower, Carliss N. Chatman
Scholarly Articles
Notwithstanding the political grandstanding and legal regimes put in place to prevent the next Enron, this article explores whether attorney whistleblower provisions provided in the Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer and in the Model Rules of Professional Conduct are effective. When faced with attorney involvement in Enron, Congress passed § 307 of the Sarbanes Oxley Act (Sarbanes), which required the Securities and Exchange Commission (SEC) to amend its standards governing the conduct of attorneys practicing before the SEC. In response, the SEC and the American Bar Association …
A Cloudy Prospectus: The Supreme Court's Problematic Reasoning In Gustafson V. Alloyd Co., Krista R. Bowen
A Cloudy Prospectus: The Supreme Court's Problematic Reasoning In Gustafson V. Alloyd Co., Krista R. Bowen
Washington and Lee Law Review
No abstract provided.
Statutes Of Limitation For Section 10(B) And Rule Lob-5: A New Proposal For Uniformity
Statutes Of Limitation For Section 10(B) And Rule Lob-5: A New Proposal For Uniformity
Washington and Lee Law Review
No abstract provided.
The Reduction In Seller Liability Under The Securities Act Of 1933: Good News For Securities Professionals
Washington and Lee Law Review
No abstract provided.
International Cooperation In Securities Enforcement
International Cooperation In Securities Enforcement
Washington and Lee Law Review
No abstract provided.
Basic, Inc. V. Levinson, Lewis F. Powell Jr.
Basic, Inc. V. Levinson, Lewis F. Powell Jr.
Supreme Court Case Files
No abstract provided.
Chiarella V. United States, Lewis F. Powell Jr.
Chiarella V. United States, Lewis F. Powell Jr.
Supreme Court Case Files
No abstract provided.
Santa Fe Industries, Inc. V. Green, Lewis F. Powell Jr.
Santa Fe Industries, Inc. V. Green, Lewis F. Powell Jr.
Supreme Court Case Files
No abstract provided.
The Unheralded Demise Of The Statute Of Frauds Welsher In Oral Contracts For The Sale Of Goods And Investment Securities: Oral Sales Contracts Are Enforceable By Involuntary Admissions In Court Under U.C.C. Sections 2-201(3)(B) And 8-319(D), Philip K. Yonge
Washington and Lee Law Review
No abstract provided.
Tsc Industries Inc. V. Northway, Inc., Lewis F. Powell Jr.
Tsc Industries Inc. V. Northway, Inc., Lewis F. Powell Jr.
Supreme Court Case Files
No abstract provided.
The Development Of A Flexible Duty Standard Of Liability Under Sec Rule 10b-5
The Development Of A Flexible Duty Standard Of Liability Under Sec Rule 10b-5
Washington and Lee Law Review
No abstract provided.
A Negligence Standard For Material Misstatements And Omissions In Tender Offers Under § 14(E) Of The Securities Exchange Act Of 1934
Washington and Lee Law Review
No abstract provided.
The Birnbaum Rule Rejected: Will Analysis Of Right To Bring Private Action Under § 10(B) Be Simplified?
Washington and Lee Law Review
No abstract provided.