Open Access. Powered by Scholars. Published by Universities.®

Securities Law Commons™

Open Access. Powered by Scholars. Published by Universities.®

Journal

1987

Discipline
Institution
Keyword
Publication

Articles 1 - 24 of 24

Full-Text Articles in Securities Law

Conversion Of Customers' Property By Securities Professionals: The Applicabilty Of Rule 10b-5 In The "Contraction Era" Jun 1987

Conversion Of Customers' Property By Securities Professionals: The Applicabilty Of Rule 10b-5 In The "Contraction Era"

Washington and Lee Law Review

No abstract provided.

Go to article

Section 20(A) Or Respondeat Superior?: An Update Jun 1987

Section 20(A) Or Respondeat Superior?: An Update

Washington and Lee Law Review

No abstract provided.

Go to article

Maintenance Of Market Strategies In Futures Broker Insolvencies: Futures Position Transfers From Troubled Firms, Andrea M. Corcoran, Susan C. Ervin Jun 1987

Maintenance Of Market Strategies In Futures Broker Insolvencies: Futures Position Transfers From Troubled Firms, Andrea M. Corcoran, Susan C. Ervin

Washington and Lee Law Review

No abstract provided.

Go to article

Employee Equity Incentive Plans For Small Companies: A Proposal For A Specific Registration Exemption From The 1933 Act Jun 1987

Employee Equity Incentive Plans For Small Companies: A Proposal For A Specific Registration Exemption From The 1933 Act

Washington and Lee Law Review

No abstract provided.

Go to article

One Share, One Vote: The Sec's Duty To Protect Investors And Ensure Fair Administration Among The Securities Exchanges Jun 1987

One Share, One Vote: The Sec's Duty To Protect Investors And Ensure Fair Administration Among The Securities Exchanges

Washington and Lee Law Review

No abstract provided.

Go to article

Logical Inconsistencies In The Sec's Enforcement Of Insider Trading: Guidelines For A Definition Jun 1987

Logical Inconsistencies In The Sec's Enforcement Of Insider Trading: Guidelines For A Definition

Washington and Lee Law Review

No abstract provided.

Go to article

Volatility And Market Inefficiency: A Commentary On The Effects Of Options, Futures, And Risk Arbitrage On The Stock Market , Thomas Lee Hazen Jun 1987

Volatility And Market Inefficiency: A Commentary On The Effects Of Options, Futures, And Risk Arbitrage On The Stock Market , Thomas Lee Hazen

Washington and Lee Law Review

No abstract provided.

Go to article

City National Bank V. American Commonwealth Financial Corp: The Application Of Rule 10b-13 Of The Securities Exchange Act Of 1934 To Executory Contracts Jun 1987

City National Bank V. American Commonwealth Financial Corp: The Application Of Rule 10b-13 Of The Securities Exchange Act Of 1934 To Executory Contracts

Washington and Lee Law Review

No abstract provided.

Go to article

Cpas Who Perform Management Consulting Services May Face Increased Exposure To Controlling Person Liability Under The Federal Securities Acts Jun 1987

Cpas Who Perform Management Consulting Services May Face Increased Exposure To Controlling Person Liability Under The Federal Securities Acts

Washington and Lee Law Review

No abstract provided.

Go to article

Virginia's Affiliated Transactions Article: The Death Of Two-Tiered Takeovers In Virginia? Jun 1987

Virginia's Affiliated Transactions Article: The Death Of Two-Tiered Takeovers In Virginia?

Washington and Lee Law Review

No abstract provided.

Go to article

The Supreme Court And The Definition Of "Security": The"Context" Clause, "Investment Contract" Analysis, And Their Ramifications, Marc I. Steinberg, William E. Kaulbach Apr 1987

The Supreme Court And The Definition Of "Security": The"Context" Clause, "Investment Contract" Analysis, And Their Ramifications, Marc I. Steinberg, William E. Kaulbach

Vanderbilt Law Review

In two recent decisions' construing the scope of the federal securities acts, the Supreme Court apparently has undertaken to alleviate some of the confusion and uncertainty surrounding the most fundamental question in securities law: the definition of"security" itself. Much of the existing confusion can be traced to earlier decisions of the Court that first implied, and later held,that the regulatory or offering context in which a particular transaction occurs could function to exclude the transaction from cover-age of the securities laws' anti-fraud provisions. This result could follow even though the transaction in question otherwise might satisfy the traditional Howey or …

Go to article

Enforcing Arbitration Of Federal Securities Law Claims: The Effect Of Dean Witter Reynolds, Inc. V. Byrd, Michael Durrer Feb 1987

Enforcing Arbitration Of Federal Securities Law Claims: The Effect Of Dean Witter Reynolds, Inc. V. Byrd, Michael Durrer

William & Mary Law Review

No abstract provided.

Go to article

The Case For Employee Ownership In Overseas Operations Of U.S. Multinational Enterprises In Central America, William G. Hopping Jan 1987

The Case For Employee Ownership In Overseas Operations Of U.S. Multinational Enterprises In Central America, William G. Hopping

Michigan Journal of International Law

Part II of this note explains the relevance of using U.S. direct investment in Central America as a starting point for encouraging employee ownership. Part III describes the essential legal framework of the ESOP in the U.S., providing a framework from which to adapt the ESOP to other countries. Part IV argues that all parties participating in this form of expanded ownership will realize significant short and long-term benefits, but points out some problems of transferring ESOPs, a U.S. legal innovation, to different cultural and business environments. Part V presents some of the legal and economic issues of adapting ESOPs, …

Go to article

Sec Review: Comfort Or Illusion?, Abba David Poliakoff Jan 1987

Sec Review: Comfort Or Illusion?, Abba David Poliakoff

University of Baltimore Law Review

Registration statements and proxy materials filed pursuant to federal securities laws undergo various types of scrutiny by the Securities and Exchange Commission (the "SEC" or the "Commission") to determine compliance with applicable regulations and forms and the adequacy of disclosures required to be made in such documents. The more selective review procedures presently employed by the SEC and the proliferation of litigation related to allegedly inadequate disclosures raise the issue of whether a clearance of that document by the SEC should be accorded any evidentiary value. The author first outlines the review procedures applicable to registration statements and proxy materials. …

Go to article

A Study Of Mexico's Capital Markets And Securities Regulation, Samuel Wolff Jan 1987

A Study Of Mexico's Capital Markets And Securities Regulation, Samuel Wolff

Vanderbilt Journal of Transnational Law

This Article will analyze Mexico's capital markets and regulations, primarily from an empirical point of view. The discussion will begin with an overview of the Mexican financial and legal systems to provide a context for the analysis of the market and the law. The essay will then discuss the Mexican securities market, including history, participants and characteristics. Finally, Mexico's Ley del Mercado de Valores ("Securities Market Law") will be analyzed." The objective of the study is to increase understanding of the Mexican market by Mexicans and foreigners alike. The study should be useful to policymakers in Mexico and other developing …

Go to article

Mandatory Disclosure For Municipal Securities: A Reevaluation, Ann Judith Gellis Jan 1987

Mandatory Disclosure For Municipal Securities: A Reevaluation, Ann Judith Gellis

Buffalo Law Review

No abstract provided.

Go to article

The Mcmahon Mandate: Compulsory Arbitration Of Securities And Rico Claims, Stephen P. Bedell, Lolla M. Harrison, Stuart C. Harvey Jr. Jan 1987

The Mcmahon Mandate: Compulsory Arbitration Of Securities And Rico Claims, Stephen P. Bedell, Lolla M. Harrison, Stuart C. Harvey Jr.

Loyola University Chicago Law Journal

No abstract provided.

Go to article

Electronic Surveillance In Crime Detection: An Analysis Of Canadian Wiretapping Law, Norman Macdonald Jan 1987

Electronic Surveillance In Crime Detection: An Analysis Of Canadian Wiretapping Law, Norman Macdonald

Dalhousie Law Journal

Wiretapping and electronic surveillance by law enforcement agencies has been going on in Canada for decades. An inquiry by the McDonald Commission in 1981 reveals this as part of normal activities of the Royal Canadian Mounted Police.' Now new technologies have enlarged the capacity of police in the surveillance area. Some of these developments include: 1) Laser beams and electronic rays capable of picking up and transmitting voices in the room when aimed at a walt or window. 2) Miniature listening devices known as "bugs". Once installed these devices can overhear and record everything in the room and transmit up …

Go to article

Poison Pill: A Panacea For The Hostile Corporate Takeover, 21 J. Marshall L. Rev. 107 (1987), Robert C. Micheletto Jan 1987

Poison Pill: A Panacea For The Hostile Corporate Takeover, 21 J. Marshall L. Rev. 107 (1987), Robert C. Micheletto

UIC Law Review

No abstract provided.

Go to article

United States Regulation Of Foreign Currency Futures And Options Trading: Hedging For Business Competitiveness Comment , Gary W. Glisson Jan 1987

United States Regulation Of Foreign Currency Futures And Options Trading: Hedging For Business Competitiveness Comment , Gary W. Glisson

Northwestern Journal of International Law & Business

This Comment first summarizes the existing regulatory scheme and identifies the restrictions imposed on foreign currency futures and options trading.'9 These restrictions undercut much of the apparent flexibility found in the CFTC's recent clarification of its hedging definition. The discussion continues with an explanation of the benefits 20 and costs2' of hedging against currency risk in today's economic climate. On balance, the benefits of the trading activity-increased competitiveness and financial product innovation-appear to justify the costs of potential abuse and threats to the congressional intent of the CEA. This result justifies a fresh approach to the scheme.22 Therefore, regulatory changes …

Go to article

Takeover Statutes: The Dormant Commerce Clause And State Corporate Law, Arthur R. Pinto Jan 1987

Takeover Statutes: The Dormant Commerce Clause And State Corporate Law, Arthur R. Pinto

University of Miami Law Review

No abstract provided.

Go to article

Closing A Loophole: Insider Trading In Standardized Options, Steve Thel Jan 1987

Closing A Loophole: Insider Trading In Standardized Options, Steve Thel

Fordham Urban Law Journal

This article is a Commentary on a previous Note published in the Fordham Urban Law Journal (Note, Insiders, Options and the Fiduciary Principle: A Rule 10b-5 Loophole, 16 Fordham Urb. L.J. 295 (1988)). The Note argued that the Supreme Court has expressly endorsed only one theory of insider trading liability, in Chiarella v. United States. By the simple expedient of trading options on common stock rather than the common stock itself, an insider can escape Rule 10b-5 liability under Chiarella.

Go to article

A New Proposal: Buyer Notification Under U.C.C. Section 9-307(1) Based On The Food Security Act Of 1985, Thomas Stilp Jan 1987

A New Proposal: Buyer Notification Under U.C.C. Section 9-307(1) Based On The Food Security Act Of 1985, Thomas Stilp

Loyola University Chicago Law Journal

No abstract provided.

Go to article

Securities Fraud - Third Circuit Adopts Fraud-On-The-Market Theory Of Causation In 10b-5 Actions, Jeffrey E. Fleming Jan 1987

Securities Fraud - Third Circuit Adopts Fraud-On-The-Market Theory Of Causation In 10b-5 Actions, Jeffrey E. Fleming

Villanova Law Review

No abstract provided.

Go to article