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- Securities (6)
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- Daniel decision (2)
- Definition of a security (2)
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- Washington and Lee Law Review (8)
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Articles 1 - 28 of 28
Full-Text Articles in Securities Law
The Tender Offer Regulation Battle Continues: Should States Regulate Only Local Companies?, Phyllis E. Grimm
The Tender Offer Regulation Battle Continues: Should States Regulate Only Local Companies?, Phyllis E. Grimm
Indiana Law Journal
No abstract provided.
Securities Regulation And Freedom Of The Press: Toward A Marketplace Of Ideas In The Marketplace Of Investment, Donald E. Lively
Securities Regulation And Freedom Of The Press: Toward A Marketplace Of Ideas In The Marketplace Of Investment, Donald E. Lively
Washington Law Review
Federal regulation of securities traditionally, and almost unquestioningly, has included regulation of the press. Central to governance of the investment marketplace are systems of prior restraint and mandatory disclosure premised upon investor protection but antithetical to first amendment principles. The constitutionality of those systems largely has been uncontested. Since commercial speech has emerged as a protected form of expression, however, it is fitting to assess the compatibility of securities regulation with the first amendment.
Securities Regulation And Freedom Of The Press: Toward A Marketplace Of Ideas In The Marketplace Of Investment, Donald E. Lively
Securities Regulation And Freedom Of The Press: Toward A Marketplace Of Ideas In The Marketplace Of Investment, Donald E. Lively
Washington Law Review
Federal regulation of securities traditionally, and almost unquestioningly, has included regulation of the press. Central to governance of the investment marketplace are systems of prior restraint and mandatory disclosure premised upon investor protection but antithetical to first amendment principles. The constitutionality of those systems largely has been uncontested. Since commercial speech has emerged as a protected form of expression, however, it is fitting to assess the compatibility of securities regulation with the first amendment.
Involuntary Dissolution As A Remedy For Freeze-Outs Of Minority Shareholders: Two West Virginia Statutes, D. Christopher Wells
Involuntary Dissolution As A Remedy For Freeze-Outs Of Minority Shareholders: Two West Virginia Statutes, D. Christopher Wells
West Virginia Law Review
No abstract provided.
Financial Record Privacy - What Are And What Should Be The Rights Of The Customer Of A Depository Institution., Dan L. Nicewander
Financial Record Privacy - What Are And What Should Be The Rights Of The Customer Of A Depository Institution., Dan L. Nicewander
St. Mary's Law Journal
Abstract Forthcoming.
Access, Efficiency, And Fairness In Dirks V. Sec, Malcolm A. Tripp
Access, Efficiency, And Fairness In Dirks V. Sec, Malcolm A. Tripp
Indiana Law Journal
No abstract provided.
Disclosure Of Soft Information In Tender Offers After Flynn V. Bass Brothers Enterprises, Inc.
Disclosure Of Soft Information In Tender Offers After Flynn V. Bass Brothers Enterprises, Inc.
Washington and Lee Law Review
No abstract provided.
Hedging The Value Of Collective Assets: Financial Institutions Excluded From Regulation As Commodity Pool Operators Under The Commodity Exchange Act, Carl B. Wilkerson
Hedging The Value Of Collective Assets: Financial Institutions Excluded From Regulation As Commodity Pool Operators Under The Commodity Exchange Act, Carl B. Wilkerson
Washington and Lee Law Review
No abstract provided.
Liability Of Financial Institutions For Aiding And Abetting Violations Of Securities Laws, Sally Totten Gilmore, William H. Mcbride
Liability Of Financial Institutions For Aiding And Abetting Violations Of Securities Laws, Sally Totten Gilmore, William H. Mcbride
Washington and Lee Law Review
No abstract provided.
Kicking The Bucket Shop: The Model State Commodity Code As The Latest Weapon In The State Administrator's Anti-Fraud Arsenal, Julie M. Allen
Kicking The Bucket Shop: The Model State Commodity Code As The Latest Weapon In The State Administrator's Anti-Fraud Arsenal, Julie M. Allen
Washington and Lee Law Review
No abstract provided.
Predispute Agreements To Arbitrate Claims Arising Under The Commodity Exchange Act
Predispute Agreements To Arbitrate Claims Arising Under The Commodity Exchange Act
Washington and Lee Law Review
No abstract provided.
Discretionary Commodity Accounts: Why They Are Not Governed By The Federal Securities Laws, Kenneth M. Raisler, Whitney Adams, Maureen A. Donley-Hoopes
Discretionary Commodity Accounts: Why They Are Not Governed By The Federal Securities Laws, Kenneth M. Raisler, Whitney Adams, Maureen A. Donley-Hoopes
Washington and Lee Law Review
No abstract provided.
Self-Regulation Of The Securities Markets: A Critical Examination, Sam Scott Miller
Self-Regulation Of The Securities Markets: A Critical Examination, Sam Scott Miller
Washington and Lee Law Review
No abstract provided.
The Insider Trading Sanctions Act Of 1984: Does The Itsa Authorize The Sec To Issue Administrative Bars?
Washington and Lee Law Review
No abstract provided.
Secured Transactions Filings Under The Florida Uniform Commercial Code: A Call For Procedural Notice, Floyd R. Self
Secured Transactions Filings Under The Florida Uniform Commercial Code: A Call For Procedural Notice, Floyd R. Self
Florida State University Law Review
No abstract provided.
Secrecy And Blocking Laws: A Growing Problem As The Internationalization Of Securities Markets Continues, Rochelle G. Kauffman
Secrecy And Blocking Laws: A Growing Problem As The Internationalization Of Securities Markets Continues, Rochelle G. Kauffman
Vanderbilt Journal of Transnational Law
This Note examines the problems recently faced by the SEC in policing securities transactions effected by foreign financial institutions in jurisdictions with secrecy and blocking laws, and it proposes both a short-term solution and a long-term solution to the SEC's enforcement problems. Part II of the Note outlines the problems confronting the SEC, specifically addressing the growing internationalization of securities markets and the effects on United States markets. This section also examines the problems confronting the SEC as a result of secrecy and blocking laws, and it suggests that unless new enforcement procedures are developed, these problems will increase when …
When Is A Car A Bicycle And Other Riddles: The Definition Of A Security Under The Federal Securities Laws, M. Thomas Arnold
When Is A Car A Bicycle And Other Riddles: The Definition Of A Security Under The Federal Securities Laws, M. Thomas Arnold
Cleveland State Law Review
In Marine Bank v. Weaver, the United States Supreme Court decided that a certificate of deposit purchased from a federally-regulated bank was not, under the circumstances of the case, a security under federal laws. Several recent federal court cases have considered the question of the status of certificates of deposit under factual circumstances somewhat different from Weaver. Two of these cases provide an interesting study of the uncertainty that continues to surround the definition of a security. And despite the lengthy definitions of "security" found in federal securities laws, much uncertainty remains as to exactly what is included within the …
Judicial Activism In The Enforcement And Interpretation Of The Federal Securities Laws, John M. Sheffey
Judicial Activism In The Enforcement And Interpretation Of The Federal Securities Laws, John M. Sheffey
University of Arkansas at Little Rock Law Review
No abstract provided.
The Applicability Of Local Securities Acts To Multi-State Securities Transactions, Jack E. Mcclard
The Applicability Of Local Securities Acts To Multi-State Securities Transactions, Jack E. Mcclard
University of Richmond Law Review
A plaintiff in securities fraud litigation usually has a whole arsenal of legal theories to pursue. If the securities transaction touched several states, in addition to federal remedies, the plaintiff may have remedies available under two or more state securities acts. In multi-state transactions, lawyers naturally assume that the court must select among state remedies by applying conflict of laws principles. That natural inclination is generally unnecessary.
Federal Securities - Searching For A Definition Of Manipulation Under Section 14(E) Of The Williams Act, Pamela I. Lehrer
Federal Securities - Searching For A Definition Of Manipulation Under Section 14(E) Of The Williams Act, Pamela I. Lehrer
Villanova Law Review
No abstract provided.
When Is A Car A Bicycle And Other Riddles: The Definition Of A Security Under The Federal Securities Laws, M. Thomas Arnold
When Is A Car A Bicycle And Other Riddles: The Definition Of A Security Under The Federal Securities Laws, M. Thomas Arnold
Cleveland State Law Review
In Marine Bank v. Weaver, the United States Supreme Court decided that a certificate of deposit purchased from a federally-regulated bank was not, under the circumstances of the case, a security under federal laws. Several recent federal court cases have considered the question of the status of certificates of deposit under factual circumstances somewhat different from Weaver. Two of these cases provide an interesting study of the uncertainty that continues to surround the definition of a security. And despite the lengthy definitions of "security" found in federal securities laws, much uncertainty remains as to exactly what is included within the …
Performance Bonds, Bankers' Guarantees, And The Mareva Injunction, Peter S. O'Driscoll
Performance Bonds, Bankers' Guarantees, And The Mareva Injunction, Peter S. O'Driscoll
Northwestern Journal of International Law & Business
Performance bonds and bankers' guarantees are common features of international sales and construction contracts. They figure prominently in contracts with buyers and employers in the Middle East. In recent years, the amounts represented by these instruments have grown so large that banks have begun to syndicate them in order to limit the exposure of any one bank. With so much at stake, it is imperative that traders, bankers, and lawyers understand the legal implications of performance bonds and bankers' guarantee agreements and the treatment of such agreements by the courts. This Comment will address some of the problems associated with …
Extraterritorial Application Of United States Commodity And Securities Laws To Market Transactions In An Age Of Intercontinental Trading Links, Harold A. Malkin
Extraterritorial Application Of United States Commodity And Securities Laws To Market Transactions In An Age Of Intercontinental Trading Links, Harold A. Malkin
Northwestern Journal of International Law & Business
The recently operational trading link between the Chicago Mercantile Exchange ("CME") and the Singapore International Monetary Exchange ("SIMEX") is one of the most significant developments to occur in the securities industry in recent memory. While the initial phase of this intermarket, intercontinental link involves only the trading of Eurodollar, Deutsche mark, and Japanese yen futures contracts, the prospects for the trading of additional contracts, and the further expansion of trading hours, ultimately to round-the-clock trading, appear favorable. The internationalization of both foreign and domestic futures markets is clearly the order of the day. A trading link connecting the futures exchanges …
Rule 10b-5 And Santa Fe--Herein Of Sue Facts, Shame Facts, And Other Matters, Harvey Gelb
Rule 10b-5 And Santa Fe--Herein Of Sue Facts, Shame Facts, And Other Matters, Harvey Gelb
West Virginia Law Review
No abstract provided.
Rule 10b-5 Securities Fraud: Regulating The Application Of The Fraud-On-The-Market Theory Of Liability, 18 J. Marshall L. Rev. 733 (1985), Peter H. Wemple
Rule 10b-5 Securities Fraud: Regulating The Application Of The Fraud-On-The-Market Theory Of Liability, 18 J. Marshall L. Rev. 733 (1985), Peter H. Wemple
UIC Law Review
No abstract provided.
The Definition Of A Security Under The Federal Securities Law Revisited, M. Thomas Arnold
The Definition Of A Security Under The Federal Securities Law Revisited, M. Thomas Arnold
Cleveland State Law Review
The United States Supreme Court recently decided two cases involving the definition of "security" as used in the federal securities acts. In this brief case comment I will summarize the majority and dissenting opinions in Landreth Timber Co. v. Landreth, and Gould v. Ruefenacht . I will then comment on some of the policy questions raised by the cases, and conclude by evaluating how much guidance the two cases provide on the proper definition of "security".
Section 106 Of The Secondary Mortgage Market Enhancement Act Of 1984 And The Need For Overriding State Legislation, David J. Bleckner
Section 106 Of The Secondary Mortgage Market Enhancement Act Of 1984 And The Need For Overriding State Legislation, David J. Bleckner
Fordham Urban Law Journal
Title I of the 1984 the Secondary Mortgage Market Enhancement Act (SMMEA) was designed to remove some of the regulatory barriers that previously inhibited the development of a private market for mortgage-backed securities. Section 106 of Title I, which provided for federal regulation, preempted blue sky laws requiring registration of mortgage-backed securities and regulatory statutes affecting investment in mortgage-backed securities by state-chartered financial institutions. This Note examines whether the states should enact legislation to override the federal preemptions. Initially, this Note provides an overview of the secondary market for home mortgages by examining the factors leading to the enactment of …
The Plight Of Small Issuers (And Others) Under Regulation D: Those Nagging Problems That Need Attention, Rutheford B. Campbell Jr.
The Plight Of Small Issuers (And Others) Under Regulation D: Those Nagging Problems That Need Attention, Rutheford B. Campbell Jr.
Kentucky Law Journal
No abstract provided.