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Full-Text Articles in Securities Law
Rule 144: Sec Regulation Of Dispositions Of Securities By Controlling Persons And Private Places, Paul L. Sloan, Iii
Rule 144: Sec Regulation Of Dispositions Of Securities By Controlling Persons And Private Places, Paul L. Sloan, Iii
Vanderbilt Law Review
In recent years, dissatisfaction with the law that governs the disposition of securities by controlling persons' and private places under the Securities Act of 1933 has been voiced in numerous commentaries.Although criticism has been directed at varying facets of the problem,the displeasure of critics has resulted from two fundamental objections: first, the unnecessary ambiguity that heretofore has enveloped public resale of privately placed securities and, to a lesser degree, resale of securities by controlling persons; and secondly, the failure of the present law adequately to effect the disclosure policy of the Securities Act of 1933 and of the Securities Exchange …
Duties Of The Independent Director In Open-End Mutual Funds, Michigan Law Review
Duties Of The Independent Director In Open-End Mutual Funds, Michigan Law Review
Michigan Law Review
This Comment will analyze the role of independent directors in open-end mutual funds. It will consider the potential impact of recent decisions and statutory amendments and explore the possibilities of a more significant role for such directors. The discussion will focus on the following aspects of the directors' role: (1) the duty to review contractual arrangements between the fund and the external adviser; (2) the duty to serve as a "watchdog" over fund policy, brokerage allocation on portfolio transactions, and miscellaneous fund operations; and (3) the responsibilities upon the sale or merger of the investment adviser. In order to appreciate …
Sec Financial Requirements For Broker-Dealers: Economic Implications Of Proposed Revisions, James F. Mofsky
Sec Financial Requirements For Broker-Dealers: Economic Implications Of Proposed Revisions, James F. Mofsky
Indiana Law Journal
No abstract provided.
Judicial Review Of Sec Rule 14a-8: No Action Decisions, Andrew A. Markus
Judicial Review Of Sec Rule 14a-8: No Action Decisions, Andrew A. Markus
Cleveland State Law Review
A recent decision of the United States Court of Appeals for the District of Columbia has focused attention on the dissident stockholders' right to have the courts review the Securities and Exchange Commission's informal acquiescence to management's refusal to include in its proxy statement a proposal of the dissidents. The controversy centers around proxy regulation 14a-82 promulgated pursuant to section 14 of the Securities and Exchange Act of 1934.
Short Tendering Rule In The Sale Of Securities, Larry A. Oday
Short Tendering Rule In The Sale Of Securities, Larry A. Oday
Cleveland State Law Review
Rule 10b-4 of The Securities and Exchange Commission, also known as "the short tendering rule," might be described as one of the best kept secrets in securities regulation. Although it has been in effect for more than three years, very few attorneys or brokers know anything about it or have even heard of it.
Baruch: Wall Street: Security Risk, Lewis D. Lowenfels
Baruch: Wall Street: Security Risk, Lewis D. Lowenfels
Michigan Law Review
A Review of Wall Street: Security Risk by Hurd Baruch