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Articles 1 - 23 of 23
Full-Text Articles in Securities Law
The Naked Commodity Option Contract As A Security, Joseph C. Long
The Naked Commodity Option Contract As A Security, Joseph C. Long
William & Mary Law Review
No abstract provided.
Private Enforcement Of The Federal Proxy Rules: Remedial Alternatives
Private Enforcement Of The Federal Proxy Rules: Remedial Alternatives
William & Mary Law Review
No abstract provided.
Creditors' Post-Judgment Remedies In Texas., Student Symposium
Creditors' Post-Judgment Remedies In Texas., Student Symposium
St. Mary's Law Journal
Abstract Forthcoming.
Tender Offers For Corporate Control, Martin Lipton
Tender Offers For Corporate Control, Martin Lipton
Michigan Law Review
A Review of Tender Offers for Corporate Control by Edward Ross Aranow and Herbert A. Einhorn
Taxation--Apportionment Of Inheritance Tax Where Contingent Or Limited Interests Are Present, Anne R. Williams
Taxation--Apportionment Of Inheritance Tax Where Contingent Or Limited Interests Are Present, Anne R. Williams
West Virginia Law Review
No abstract provided.
Stock Options And The Tax Reform Act Of 1969: The Question Of Continued Utility, John W. Bonds, Jr.
Stock Options And The Tax Reform Act Of 1969: The Question Of Continued Utility, John W. Bonds, Jr.
Vanderbilt Law Review
This Note attempts its own exploration of the compensatory utility of stock options, beginning with brief sketches of the early tax law relating to options; the developing legislative, regulatory,and judicial refinements; and, the state of the law immediately prior to the Tax Reform Act. The basic operating provisions of the new Act and the proposed regulations are then examined as they relate to both statutory and nonstatutory stock options. After out-lining the goals that employers and employees seek by using stock options, the Note's conclusion attempts to analyze the degree to which those goals may still be attained in light …
Proposed Rule 146—A Temporary Solution, Murray L. Finebaum
Proposed Rule 146—A Temporary Solution, Murray L. Finebaum
Buffalo Law Review
No abstract provided.
Regulation Of Pyramid Sales Ventures
Securities Regulation—Private Offering Exemption: Sec Proposed Rule 146, S. M. L.
Securities Regulation—Private Offering Exemption: Sec Proposed Rule 146, S. M. L.
Washington Law Review
This note will examine the present ambit of the private offering exemption, consider proposed amendments to it and propose changes to clarify its application.
An Analysis Of Recent Proposals For Reform Of Federal Securities Legislation, William H. Painter
An Analysis Of Recent Proposals For Reform Of Federal Securities Legislation, William H. Painter
Michigan Law Review
Today the securities industry is in the midst of rapid change. Indeed it has been for at least the past decade, but in recent years the pace of change has increased, and its emphasis has shifted. Legislative and administrative reforms that could not have been anticipated a decade ago are likely in the near future, and it is still impossible to predict accurately the shape of the markets of tomorrow or the rules by which they will be governed. It is the purpose of this Article to focus on these recent developments, to summarize and evaluate various proposals for reform, …
Taxation--Subchapter S--Relaxation Of The One Class Of Stock Requirement, W. Richard Mccune Jr.
Taxation--Subchapter S--Relaxation Of The One Class Of Stock Requirement, W. Richard Mccune Jr.
West Virginia Law Review
No abstract provided.
Attorney's Liability: The Securities Bar And The Impact Of National Student Marketing, Robert C. Koch
Attorney's Liability: The Securities Bar And The Impact Of National Student Marketing, Robert C. Koch
William & Mary Law Review
No abstract provided.
Recent Cases, Law Review Staff
Recent Cases, Law Review Staff
Vanderbilt Law Review
Remedies--Fair Labor Standards Act--Private Damage Suit Unavailable to Redress Violations of Child Labor Provisions of the Fair Labor Standards Act
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Securities Regulation--Commercial Paper-Promissory Notes with Maturity Not Exceeding Nine Months but Offered to Public as Investment Are "Securities" Within Section 3(a)(10) of the 1934 Act
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Securities Regulation-Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5-- A Reorganization in the Form of a Tripartite Merger in Which There Is No Change in the Total Assets Represented by a Share of Stock Does Not Involve a"Purchase or Sale" Within the Meaning of Section 10(b)of The Securities Exchange …
Prospectus Liability For Failure To Disclose Post-Effective Developments: A New Duty And Its Implications, Jon S. Readnour
Prospectus Liability For Failure To Disclose Post-Effective Developments: A New Duty And Its Implications, Jon S. Readnour
Indiana Law Journal
No abstract provided.
Res Judicata In The Derivative Action: Adequacy Of Representation And The Inadequate Plaintiff, Michigan Law Review
Res Judicata In The Derivative Action: Adequacy Of Representation And The Inadequate Plaintiff, Michigan Law Review
Michigan Law Review
It is the purpose of this Note to examine the adequacy of representation in a derivative suit and to consider the appropriateness of applying res judicata to foreclose the corporate cause of action. Discussion will focus on the following areas: (1) the problem of the inadequate plaintiff; (2) the efficacy of judicially created devices designed to ensure the adequacy of representation; and, (3) the feasibility of partially exempting the derivative cause of action from the operation of res judicata.
Stockholder's Derivative Actions By Holders Of Convertible Debentures, Robert A. Malstrom
Stockholder's Derivative Actions By Holders Of Convertible Debentures, Robert A. Malstrom
University of Michigan Journal of Law Reform
This article focuses on Federal Rule of Civil Procedure 23.1. That rule provides a particularly convenient vehicle for discussing the protective limitations which prevent abuse of the derivative action. Analogous protective limitations exist in the statutory or case law of most jurisdictions, therefore the discussion here applies equally to actions brought in the courts of many states. Moreover, the economic and public policy arguments presented are applicable to actions in both federal and state courts.
Recent Changes In The Kentucky Securities Law, Richard A. Getty
Recent Changes In The Kentucky Securities Law, Richard A. Getty
Kentucky Law Journal
No abstract provided.
Shareholder Derivative Actions: A Modest Proposal To Revise Federal Rule 23.1, Robert A. Kessler
Shareholder Derivative Actions: A Modest Proposal To Revise Federal Rule 23.1, Robert A. Kessler
University of Michigan Journal of Law Reform
The purpose of this article is to suggest the addition of two words, "if necessary"-or better yet, the phrase "if necessary under the law of the forum state"-to clause (1) of Federal Rule of Civil Procedure 23.1. This Rule sets forth the requirements for a shareholder's derivative action in the federal courts.
Securities Regulation In Japan, Mitsuru Misawa
Securities Regulation In Japan, Mitsuru Misawa
Vanderbilt Journal of Transnational Law
Japanese securities exchanges, which were closed at the beginning of the Allied Force occupation in 1945, were permitted to reopen in 1949. During the following two decades, the Japanese economy displayed vigorous growth. An expansion of the operations of the securities markets accompanied the expansion of the economy, but the expansion did not progress evenly. The development of the securities markets in the post-War period can be divided into a number of stages: (1) the period of confusion and frustration (August 1945 to August 1949); (2) the period of reorganization (May 1949 to January 1954); (3) the period of high …
Securities Regulation In Switzerland, Roger Dagon
Securities Regulation In Switzerland, Roger Dagon
Vanderbilt Journal of Transnational Law
The Swiss system of securities regulation, to the extent that it exists at all, is primarily a system of self-regulation. The basic company law, the Code des obligations of 1911, as amended, which enumerates the minimum disclosure requirements for public offerings of foreign or domestic debt securities and for public offerings of new shares of domestic corporations, represents the only formal regulation of corporate issues. The Code exempts secondary offerings of outstanding shares as well as initial issues of foreign shares. Secondary offerings of outstanding shares and issues of new foreign shares, however, must comply with the prospectus requirements established …
Characterization Of Shareholder-Creditor Bad Debt: United States V. Generes Sounds The Knell For Deductions From Ordinary Income, Bland W. Cannon, Jr.
Characterization Of Shareholder-Creditor Bad Debt: United States V. Generes Sounds The Knell For Deductions From Ordinary Income, Bland W. Cannon, Jr.
Vanderbilt Law Review
The primary focus of this Note is on the development of the judicial doctrines interpreting the provisions of section 166 as applied to share-holder losses on loans to related corporations. Whether, in any given case, advances by shareholders will be considered loans or capital investments is beyond the scope of this work. For purposes of this study, the existence of a valid debtor-creditor or debtor-guarantor relationship between the corporation and its shareholder will be assumed. A brief description of the statutory scheme of the bad debt and loss provisions will be followed by a discussion of the origins and development …
Proposed Regulation Of Limited Partnership Investment Programs, Ivan J. Schell
Proposed Regulation Of Limited Partnership Investment Programs, Ivan J. Schell
University of Michigan Journal of Law Reform
Limited partners have long been admonished to scrutinize potential investments; this advice is often ignored, however, by investors eager to reap quick profits. Furthermore, the proliferation of limited partnership interests in a single enterprise diffuses the focus of investor vigilance and increases the potential for undetected abuses. Thus a need for regulation, either governmental or private, has developed. Currently the Uniform Limited Partnership Act and blue sky laws provide some control of limited partnership abuses at the state level. On the interstate level, the Midwest Securities Commissioners Association, the National Association of Securities Dealers, and the Securities and Exchange Commission …
Securities Law--Prospectus Must Reflect Developments Subsequent To Effective Date Of Registration Statement To Meet Requirements Of Section 10(A) Of Securities Act Of 1933--Sec V. Manor Nursing Centers, Inc.*, Michigan Law Review
Michigan Law Review
Manor Nursing Centers, Inc., made a public offering of 450,000 shares of its common stock at a price of ten dollars per share. Under the provisions of the Securities Act of 1933, a registration statement containing a prospectus was filed with the Securities and Exchange Commission. These documents represented that the offering would be on a best efforts, "all-or-nothing" basis-that is, if all the 450,000 shares were not sold by a specified selling deadline, the proceeds of any sales would be returned to subscribers. The prospectus stated that subscribers' funds would be segregated in an escrow account and that arrangements …