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Articles 1 - 20 of 20
Full-Text Articles in Securities Law
Derivative Actions And The Seventh Amendment
Derivative Actions And The Seventh Amendment
Washington and Lee Law Review
No abstract provided.
Securities Regulation--Damages--The Possibility Of Punitive Damages As A Remedy For A Violation Of Rule 10b-5, Michigan Law Review
Securities Regulation--Damages--The Possibility Of Punitive Damages As A Remedy For A Violation Of Rule 10b-5, Michigan Law Review
Michigan Law Review
Several lower federal courts have recently been faced with this issue and have reached conflicting results in their attempts to resolve it. This Note will examine both the problems of statutory interpretation and the policy considerations that are involved in deciding whether punitive damages should be awarded in civil actions based on violations of rule I0b-5.
The Applicability Of The Margin Regulations To Foreign Financial Institutions, Roberta S. Karmel
The Applicability Of The Margin Regulations To Foreign Financial Institutions, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
The Williams Amendments: An Evaluation Of The Early Returns, M. Douglas Dunn
The Williams Amendments: An Evaluation Of The Early Returns, M. Douglas Dunn
Vanderbilt Law Review
The purpose of this note is to examine the judicial interpretation of the Williams Amendments to the Securities Exchange Act. The background of the legislation is outlined to direct attention to its general purpose and to isolate its intended beneficiaries.' A discussion of the actual amendments will provide the informational base necessary for consideration of the recent cases. The critical discussion of the first few cases interpreting the amendments provides the foundation for a suggested approach in applying the available remedies to violators of the Williams Amendments.
Investment Securities, Thomas H. Jolls
Introduction To Symposium On Securities, Manuel F. Cohen
Introduction To Symposium On Securities, Manuel F. Cohen
Vanderbilt Law Review
Students of the securities markets, and of relevant law and regulation, will wonder whether another symposium is worthwhile. Recent years have seen a proliferation of symposia, meetings, conferences, taped messages, books, pamphlets, and other materials designed to educate the uninitiated or to provide an opportunity for debate among the sophisticated concerning the important issues of the day. This, of course, assumes that there are important issues, and merit in the continued effort at education...This symposium does not reach all the issues. It does, however, deal with certain important ones and suggests quite emphatically the need for re-examination of all. To …
Reform Of The Blue Sky Laws, James S. Mofsky
Reform Of The Blue Sky Laws, James S. Mofsky
Vanderbilt Law Review
Some constructive recommendations can be made to generate meaningful reform of the blue sky laws within the states themselves. In this regard, it is important to separate those persons who would be in favor of revision as discussed in this article from those who would be opposed. As previously mentioned, corporate officials and businessmen associated with small firms directly affected by the blue sky laws would probably advocate reform, as would the investment bankers who underwrite such firms. These persons and firms must have substantial political muscle if they are to achieve significant results in the state capitols. Such strength …
A Rejoinder To Mr. Ferber, Henry G. Manne
A Rejoinder To Mr. Ferber, Henry G. Manne
Vanderbilt Law Review
No congressman would tell his constituents, "you may be losing money by SEC regulation, but that is irrelevant, since the men down there are serving a higher moral order." The truth of the matter is that there need be no conflict between good economics and good morality. The confusion arises when the attempt is made to substitute superficial ideas of morality for fundamental economic doctrine. Clearly every decision has an economic impact just as it has moral implications. But how can one judge the moral content or desirability of an act of economic regulation without knowing the effects of it?
The Noninvestment Value Of Control Stock, David Cowan Bayne
The Noninvestment Value Of Control Stock, David Cowan Bayne
Indiana Law Journal
No abstract provided.
Reformation In Corporate Law: Equal Opportunity Must Be Afforded Minority Stockholders In Any Transaction In Shares By Those In Control: Jones V. Ii. F. Ahmanson, Michael D. O'Connor
Reformation In Corporate Law: Equal Opportunity Must Be Afforded Minority Stockholders In Any Transaction In Shares By Those In Control: Jones V. Ii. F. Ahmanson, Michael D. O'Connor
Indiana Law Journal
No abstract provided.
Codification And Rule 10b-5, Lewis D. Lowenfels
Codification And Rule 10b-5, Lewis D. Lowenfels
Vanderbilt Law Review
One of the most interesting as well as controversial areas of the securities laws has been the growth of implied liabilities under section 10(b) of the Securities Exchange Act of 1934 and Rule l0(b)-5 promulgated there under. Any attempt to codify the securities laws would probably include an attempt to codify this entire l0b-5 area.' Once the codifiers move into this area, however, there is a strong likelihood that codification will result in reform and revision, and the present scope as well as the future growth and development of "federal corporation law" under Rule l0b-5 will be profoundly altered.' Thus …
The Case Against Insider Trading: A Response To Professor Manne, David Ferber
The Case Against Insider Trading: A Response To Professor Manne, David Ferber
Vanderbilt Law Review
Professor Manne's article appears to be largely an attack on critics of his book Insider Trading and the Stock Market. I must confess I have not read his book. I did, however, read an earlier article by Professor Manne attacking the position of the Commission in the Texas Gulf case, and I once participated in a forum at which Professor Manne expressed his view that inside information should be something that a corporate official might sell. I disagree with Professor Manne's basic position that "[t]he debatable aspects of insider trading are capable of resolution through tools of economic analysis,"' as …
Insider Trading And The Law Professors, Henry G. Manne
Insider Trading And The Law Professors, Henry G. Manne
Vanderbilt Law Review
When Insider Trading and the Stock Market' appeared in November, 1966, I was fully prepared for a goodly amount of disagreement. I was not prepared however for the emotional, almost hostile response my book received from some members of the academic community. This is not to say that all the reviews by law professors were unsympathetic and emotional in tone. Indeed the majority of them were not, and while critical reviews outnumbered favorable ones, most were in some degree mixed, and the tone was generally scholarly, impersonal, and in many cases constructive But the response to my book in the …
Section 11 Of The Securities Act—A Proposal For Allocating Liability, John R. Allison
Section 11 Of The Securities Act—A Proposal For Allocating Liability, John R. Allison
Washington Law Review
Section 11 gives each non-issuer participant a right to recover contribution from the other participants subject to liability. This comment will show how the right to contribution may be used to make the consequences of participating in registration more predictable, by limiting a non-issuer participant's potential liability to the consequences of his own carelessness. Part I will review briefly the registration requirement, which determines the incidence of section 11 liability. Part I will then discuss the section 11 cause of action, and demonstrate the importance and function of the right to recover contribution. Finally, Part III will analyze the right …
The Investment Banker And The Credit Regulations, Roberta S. Karmel
The Investment Banker And The Credit Regulations, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
Securities - Plaintiff's Recovery In Private Suit Based On Violation Of Federal Securities Laws Held Barred By Defenses Of In Pari Delicto Or Unclean Hands, Jill Devitt
Loyola University Chicago Law Journal
No abstract provided.
Scienter Requirement In Actions Under Rule 10b-5, David G. Epstein
Scienter Requirement In Actions Under Rule 10b-5, David G. Epstein
Law Faculty Publications
More than twenty years have now elapsed since a private right of action under rule 10b-5 was first recognized judicially. In the interim, rule 10b-5 has become "the most prolific source of litigation since Henry Ford invented the flivver." And, the Rule is assuming even greater importance. Private actions under 10b-5 in excess of seventy-seven million dollars have been instituted against Texas Gulf Sulphur and its officers and directors. The Securities and Exchange Commission proposals to implement the Wheat Report will result in an increased emphasis on 10b-5. Notwithstanding the importance of rule 10b-5 and the numerous reported decisions and …
Rule 10b-5: The Search For A Limiting Doctrine, Hilary P. Bradford
Rule 10b-5: The Search For A Limiting Doctrine, Hilary P. Bradford
Buffalo Law Review
No abstract provided.
Trustees Power: The Power To Sell Includes The Power To Option, Michael H. Dessent
Trustees Power: The Power To Sell Includes The Power To Option, Michael H. Dessent
Faculty Scholarship
No abstract provided.
Corporations--Fradulent Proxy Statements--Securities Exchange Act Of 1934, § 14(A), Steve Hixson
Corporations--Fradulent Proxy Statements--Securities Exchange Act Of 1934, § 14(A), Steve Hixson
Kentucky Law Journal
No abstract provided.