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- Securities fraud (5)
- Blue sky laws (2)
- International securities regulation (2)
- Securities (2)
- Tender offers (2)
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- Affiliated Ute Citizens of Utah v. United States (1)
- Arbitration & award (1)
- Arbitration and award (1)
- Arizona Corporation v Media Products (1)
- Basic Inc. v. Levinson (1)
- Blue Chip Stamps v. Manor Drug Stores (1)
- Blue Sky Laws (1)
- Charitable gift (1)
- Commerce Clause (1)
- Competing federal and state securities regulation (1)
- Donative transfer (1)
- Federal securities doctine (1)
- Federal securities laws (1)
- German Futures Exchanges (1)
- German Futures Regulation (1)
- German Futures Trading (1)
- Insider trading in securities (1)
- Limitation of actions (1)
- List v. Fashion Park Inc. (1)
- Registration by Disclosure (1)
- Rule 10b-5 (1)
- SEC (1)
- SEC Rule 10b-5 (1)
- Scienter requirement (1)
- Section 16(b) (1)
- Publication
Articles 1 - 21 of 21
Full-Text Articles in Securities Law
Looking A Gift Of Stock In The Mouth: Donative Transfers And Rule 10b-5, Carol J. Sulcoski
Looking A Gift Of Stock In The Mouth: Donative Transfers And Rule 10b-5, Carol J. Sulcoski
Michigan Law Review
This Note explores whether a gift of stock can constitute a "sale" for the purposes of section lO(b) of the 1934 Act and rule lOb-5 promulgated thereunder. Part I reviews the relevant 1934 Act provisions, and concludes that although the statute's language and legislative history do not mention gifts of stock as such, they support the inclusion of gifts within the statute's scope. Part II examines a limited line of cases holding that a bona fide charitable gift is not a sale under section 16(b) of the 1934 Act. This Part concludes that section 16(b) cases are not dispositive of …
Corporate Scienter Under The Securities Exchange Act Of 1934, Craig L. Griffin
Corporate Scienter Under The Securities Exchange Act Of 1934, Craig L. Griffin
BYU Law Review
No abstract provided.
Independent Motion Picture Financing: Unregistered Limited Partnership Offerings, James L. Thompson
Independent Motion Picture Financing: Unregistered Limited Partnership Offerings, James L. Thompson
BYU 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 Changing Structure Of The Financial Services Industry And The Implications For International Securities Regulation, Aulana Peters
The Changing Structure Of The Financial Services Industry And The Implications For International Securities Regulation, Aulana Peters
Washington and Lee Law Review
No abstract provided.
A Peek Under The Shell: Investment Bank's Equity Position In Tender Offeror Should Trigger Disclosure Requirements Of The Williams Act
Washington and Lee Law Review
No abstract provided.
State Takeover Laws, Insider Trading, And The Interplay Between The Two: A New Perspective, Christopher J. Bebel, Kenneth C. Vert
State Takeover Laws, Insider Trading, And The Interplay Between The Two: A New Perspective, Christopher J. Bebel, Kenneth C. Vert
West Virginia Law Review
No abstract provided.
The Reincarnation Of Rule 152: False Hope On The Integration Front, Lyman P. Q. Johnson, Steve Patterson
The Reincarnation Of Rule 152: False Hope On The Integration Front, Lyman P. Q. Johnson, Steve Patterson
Washington and Lee Law Review
No abstract provided.
An Up-To-Date Review Of Judicial, Legislative, And Regulatory Developments In Arbitration With Financial Institutions, Mahlon M. Frankhauser, Linda M. Gardner
An Up-To-Date Review Of Judicial, Legislative, And Regulatory Developments In Arbitration With Financial Institutions, Mahlon M. Frankhauser, Linda M. Gardner
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.
Stock In A Closely Held Corporation:Is It A Security For Uniform Commercial Code Purposes?, Tracy A. Powell
Stock In A Closely Held Corporation:Is It A Security For Uniform Commercial Code Purposes?, Tracy A. Powell
Vanderbilt Law Review
The term security has many applications. No application, however,is more important than when an interest owned or traded is determined to be within the legal definition of security. Security is defined by statutes and applied by many courts for the purposes of federal securities laws and for state blue sky laws. When interpreting the term security for federal securities laws, courts have emphasized the underlying congressional purpose of protecting investors. State courts also have interpreted the term liberally in an effort to protect the public under blue sky laws.'
The definition of security in the Uniform Commercial Code(U.C.C.), however, has …
The Effect Of In Re Data Access Systems Securities Litigation On The Statute Of Limitations Period For Section 10(B) Or Rule 10b-5 Actions Brought In Utah, Dan H. Matthews
BYU Law Review
No abstract provided.
Iii. Corporate & Securities Law
Arizona Corporation Commission V. Media Products, Inc.: Clarification Of Competing Federal And State Securities Regulation, Marianne M. Jennings
Arizona Corporation Commission V. Media Products, Inc.: Clarification Of Competing Federal And State Securities Regulation, Marianne M. Jennings
Cleveland State Law Review
While most regulators at both the state and federal levels espouse an attitude and philosophy of cooperation, the fact is that, because of conflicts in authority and unresolved constitutional issues, most nationwide offerings are becoming more difficult to execute and are burdened by so many bureaucratic loopholes that the role of the United States as a capital market in the international sense may be greatly impaired. The purpose of this Article is to explain the coexistence of federal and state securities regulation, define the resolved constitutional issues, and discuss those that remain unresolved. Finally, the Article proposes a peaceful coexistence …
New Protections In Arbitrating Public Securities Disputes In The Wake Of Mcmahon: Foregone Conclusion Or Will-O'-The-Wisp, C.M.A. Mccauliff, Robert C. Tyms
New Protections In Arbitrating Public Securities Disputes In The Wake Of Mcmahon: Foregone Conclusion Or Will-O'-The-Wisp, C.M.A. Mccauliff, Robert C. Tyms
Villanova Law Review
No abstract provided.
Securities Regulation - Financial Advisor As A Bidder In Actions Arising Under The Williams Act, Edward J. Yocum Jr.
Securities Regulation - Financial Advisor As A Bidder In Actions Arising Under The Williams Act, Edward J. Yocum Jr.
Villanova Law Review
No abstract provided.
A New Era Of Financial Futures Trading In Germany: Sweeping Changes In The Legal And Business Environment, Friedrich E.F. Hey
A New Era Of Financial Futures Trading In Germany: Sweeping Changes In The Legal And Business Environment, Friedrich E.F. Hey
Northwestern Journal of International Law & Business
Trading in futures has increased dramatically in recent years. This is especially true for financial futures. The two main reasons for this phenomenon are: (1) there is a greater need for hedging against price fluctuations; and (2) financial futures trading provides speculators with the opportunity to transform favorable price developments into quick and large profits. This Article examines the recently enacted legislation governing futures trading in the Federal Republic of Germany, distinguishes the new law from the old, and analyzes the impact the new legislation will have on the functioning of the new German futures exchange.
Securities Law - Statutes Of Limitations - Limitations Period For Express Causes Of Action Under Securities Exchange Act Of 1934 Applied To Implied Cause Of Action Under Section 10(B) And Rule 10b-5, Carla J. Metzman
Villanova Law Review
No abstract provided.
The Level Playing Field, Constantine N. Katsoris
The Level Playing Field, Constantine N. Katsoris
Fordham Urban Law Journal
The years 1987-1989 (hereinafter the "Dickens years" or "Dickens period") have been extremely volatile for the securities industry. Regardless of the causes, this volatility has become a fact of life resulting in enormous profits for some and enormous losses for others. One outgrowth of these losses is the explosion of litigation between the individual investors and the securities industry. Not only has the amount of litigation mushroomed, but the disputes have become significantly more complex. During the Dickens years, the forum for the resolution of these disputes has shifted from the courtroom to arbitration. This dramatic switch is largely the …
Basic Inc. V. Levinson: The Supreme Court's Analysis Of Fraud On The Market And Its Impact On The Reliance Requirement Of Sec Rule 10b-5, R. Douglas Martin
Basic Inc. V. Levinson: The Supreme Court's Analysis Of Fraud On The Market And Its Impact On The Reliance Requirement Of Sec Rule 10b-5, R. Douglas Martin
Kentucky Law Journal
No abstract provided.