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Full-Text Articles in Securities Law
Securities Law Fifth Circuit Symposium, Steve Thel
Securities Law Fifth Circuit Symposium, Steve Thel
Faculty Scholarship
The Fifth Circuit decided some important securities cases during the survey period and issued some interesting opinions. Although the court consistently claimed a conservative reliance on precedent and seldom acknowledged making new law, it interpreted some well-established doctrine in surprising ways. The past year's opinions in fraud cases provide guidance in the related areas of reliance, damages, and plaintiff's due diligence. The year also witnessed important developments in the law governing the relationship between brokerage firms and their clients. The most spectacular development in this area during the survey year was the October collapse in security prices. In light of …
Regulation Of Manipulation Under Section 10(B): Security Prices And The Text Of The Securities Exchange Act Of 1934, Steve Thel
Faculty Scholarship
No abstract provided.
Broker-Dealer Responsibility In Reguation D Transacctions, Matthew Joonho Jeon
Broker-Dealer Responsibility In Reguation D Transacctions, Matthew Joonho Jeon
Fordham Urban Law Journal
The Note examines the responsibilities that a broker-dealer has under section 12(2) of the Securities Act of 1933, in Regulation D transactions. The author concludes that because the private placement market for securities generally consists of those persons who are sophisticated and knowledgeable in financial matters, these investors do not need the full protection of the Securities Act's registration requirements. Consequently, broker-dealers involved in Regulation D transactions should not be required to exercise "due diligence."