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Full-Text Articles in Securities Law
Law As Symbol: Appearances In The Regulation Of Investment Advisers And Attorneys , Larry D. Barnett
Law As Symbol: Appearances In The Regulation Of Investment Advisers And Attorneys , Larry D. Barnett
Cleveland State Law Review
From a macrosociological perspective, law is an institution of society, is shaped by conditions in society, and facilitates social life by interalia producing symbols. Law accordingly adopts concepts and principles that focus on the appearance to society of certain phenomena and that are symbols when the phenomena are socially significant. To illustrate symbols in law, the article examines (i) the "hold oneself out" standard in defining an investment adviser under the federal Investment Advisers Act and (ii) the standard for ethical conduct that requires attorneys to avoid appearances of impropriety. If symbolic concepts and principles are tied to the properties …
Disciplinary Proceedings By The S. E. C. Against Attorneys, Paul J. Kemp
Disciplinary Proceedings By The S. E. C. Against Attorneys, Paul J. Kemp
Cleveland State Law Review
The securities and exchange commission, created by Section 4 (a) of the Securities Exchange Act of 1934, has from its earliest days proclaimed its right to determine who may appear before or transact business with it in a representative capacity and in Rule 2 (e) of its present Rules of Practice has reserved to itself the right, in its discretion, to "deny, temporarily or permanently, the privilege of appearing or practicing before it in any way to any person who is found by the Commission after notice of and opportunity for hearing in the matter (1) not to possess the …