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Articles 1 - 30 of 52
Full-Text Articles in Securities Law
Private Causes Of Action Under Section 206 Of The Investment Advisers Act, Michigan Law Review
Private Causes Of Action Under Section 206 Of The Investment Advisers Act, Michigan Law Review
Michigan Law Review
This Note examines the propriety of implying a cause of action for damages under section 206. Upon concluding that such an implication is appropriate, it then suggests a scope for section 206 actions that implements the Act's underlying purposes.
Developments In The Georgia Law Of Securities Regulation, H. Sadler Poe
Developments In The Georgia Law Of Securities Regulation, H. Sadler Poe
Mercer Law Review
For the second successive year, the General Assembly has enacted significant amendments to the Georgia Securities Act of 1973. (Hereinafter referred to as the "Act" or the "1973 Act.") While this year's amendments (the "1975 Amendments" or the "Amendments") are not as extensive as the previous amendments,' the 1975 Amendments make important changes in virtually every area of the 1973 Act's coverage. From exempt securities and transactions, to registration of securities, to regulation of dealers and salesmen, to enforcement, the changes have been numerous, many of them merely clarifying the drafters' intent, but others make important substantive changes. The Secretary …
Increasing Application Of Federal Securities Laws To Real Estate Transactions, Robert J. Robbins Jr.
Increasing Application Of Federal Securities Laws To Real Estate Transactions, Robert J. Robbins Jr.
North Carolina Central 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.
Foremost-Mckesson, Inc. V. Provident Securities Co., Lewis F. Powell Jr.
Foremost-Mckesson, Inc. V. Provident Securities Co., Lewis F. Powell Jr.
Supreme Court Case Files
No abstract provided.
Going Private: Business Practices, Legal Mechanics, Judicial Standards And Proposals For Reform, Lewis D. Solomon
Going Private: Business Practices, Legal Mechanics, Judicial Standards And Proposals For Reform, Lewis D. Solomon
Buffalo Law Review
No abstract provided.
Securities Regulation--Definition Of A Securityshare Of A Nonprofit Cooperative Housing Corporation Is Not A Security--United Housing Foundation, Inc. V. Forman
BYU Law Review
No abstract provided.
Far-Reaching Equitable Remedies Under The Securities Acts And The Growth Of The Federal Corporate Law, Robert J. Malley
Far-Reaching Equitable Remedies Under The Securities Acts And The Growth Of The Federal Corporate Law, Robert J. Malley
William & Mary Law Review
No abstract provided.
Private Damage Actions Under Sec Rule 10b-5 Are Limited To Actual Purchasers Or Sellers Of Securities., Roberta Gail Weatherby
Private Damage Actions Under Sec Rule 10b-5 Are Limited To Actual Purchasers Or Sellers Of Securities., Roberta Gail Weatherby
St. Mary's Law Journal
Abstract Forthcoming.
Attorney's Responsibilities: Adversaries At The Bar Of The Sec, Roberta S. Karmel, Joseph C. Daley
Attorney's Responsibilities: Adversaries At The Bar Of The Sec, Roberta S. Karmel, Joseph C. Daley
Faculty Scholarship
No abstract provided.
The Extraterritorial Application Of The Federal Securities Code, Roberta S. Karmel
The Extraterritorial Application Of The Federal Securities Code, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
Extraterritorial Application Of Section 16(B) Of The Securities Exchange Act Of 1934-Wagman V. Astle, 380 F. Supp. 497 (S.D.N.Y. 1974)
Washington and Lee Law Review
No abstract provided.
Professional Responsibility And Self-Regulation Of The Securities Lawyer, James H. Cheek, Iii
Professional Responsibility And Self-Regulation Of The Securities Lawyer, James H. Cheek, Iii
Washington and Lee Law Review
No abstract provided.
Survey Of 1974 Securities Law Developments
Survey Of 1974 Securities Law Developments
Washington and Lee Law Review
No abstract provided.
X. The Securities Investor Protection Act Of 1970 (Sipa)
X. The Securities Investor Protection Act Of 1970 (Sipa)
Washington and Lee Law Review
No abstract provided.
Factors Determining The Degree Of Culpability Necessary For Violation Of The Federal Securities Laws In Information Transmission Cases, David S. Ruder
Factors Determining The Degree Of Culpability Necessary For Violation Of The Federal Securities Laws In Information Transmission Cases, David S. Ruder
Washington and Lee Law Review
No abstract provided.
Sec Enforcement Techniques: Expanding And Exotic Forms Of Ancillary Relief, James C. Treadway, Jr.
Sec Enforcement Techniques: Expanding And Exotic Forms Of Ancillary Relief, James C. Treadway, Jr.
Washington and Lee Law Review
No abstract provided.
Loss And Transaction Causation: The Second Circuit Resolves The Causation Controversy In Majority Control Situations
Washington and Lee Law Review
No abstract provided.
Iv. The Tender Offer - A Developing Concept
Iv. The Tender Offer - A Developing Concept
Washington and Lee Law Review
No abstract provided.
V. Injunctions And Damages Under The' Williams Act-Defensive Mechanisms, Punitive Sanctions, Remedial Devices
Washington and Lee Law Review
No abstract provided.
Vi. Going Private - A Public Concern
Vi. Going Private - A Public Concern
Washington and Lee Law Review
No abstract provided.
Viii. Broker-Dealer Regulation
Ix. Stock Exchanges And The Antitrust Laws
Ix. Stock Exchanges And The Antitrust Laws
Washington and Lee Law Review
No abstract provided.
Registration And Exemption From Registration Of Employee Compensation Plans Under The Federal Securities Laws, Dean L. Overman
Registration And Exemption From Registration Of Employee Compensation Plans Under The Federal Securities Laws, Dean L. Overman
Vanderbilt Law Review
This article is a basic summary of the rather complex federal securities laws concerning the registration of employee compensation plans. It centers around certain provisions of the Securities Act of 1933, the Securities and Exchange Act of 1934 and the Investment Company Act of 1940. The article initially discusses the necessity of registering the following four types of employee compensation plans: (1) pension, profit-sharing, stock bonus and similar plans; (2) employee stock purchase plans; (3) stock option plans; and (4) phantom stock plans. It then considers certain exemptions for these plans and the means available to employees to effect a …
Municipal Bonds And The Federal Securities Laws: The Results Of Forty Years Of Indirect Regulation, Bruce N. Hawthorne
Municipal Bonds And The Federal Securities Laws: The Results Of Forty Years Of Indirect Regulation, Bruce N. Hawthorne
Vanderbilt Law Review
Recent abuses occurring in the municipal bond markets have threatened investor confidence and caused Congress to reevaluate its original decision to exempt these securities from the Securities Act of 1933 and the Securities Exchange Act of 1934. This Note will analyze in some depth the securities regulation aspects of the municipal securities markets. First, because an understanding of the unique nature of municipal securities and their markets is essential, a description will be made of the characteristics of municipal bonds and municipal bond purchasers, the participants in the municipal securities industry, and the new issue and trading markets for municipal …
Elements Of Recovery Under Rule 10b 5: Scienter, Reliance, And Plaintiff's Reasonable Conduct Requirement, Rutheford B. Campbell Jr.
Elements Of Recovery Under Rule 10b 5: Scienter, Reliance, And Plaintiff's Reasonable Conduct Requirement, Rutheford B. Campbell Jr.
Law Faculty Scholarly Articles
A comparison of the commentaries on rule 10b-5 indicates that uncertainty is widespread in this area of securities law. One area that is needlessly confused is the proper selection and definition of those elements necessary for recovery in a 10b-5 action. The purpose of this article is to consider four distinct elements that continue to be the source of constant litigation and comment and to suggest an approach that clarifies their meaning and use. The four elements are: (1) scienter (the defendant's state of mind), (2) reliance, (3) justifiable reliance, and (4) materiality. This article will analyze the use of …