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Articles 1 - 14 of 14
Full-Text Articles in Securities Law
Securities Regulation - Investment Company Act Of 1940. Moses V. Burgin, 445 F.2d 369 (1st Cir. 1971), Michael D. Horlick
Securities Regulation - Investment Company Act Of 1940. Moses V. Burgin, 445 F.2d 369 (1st Cir. 1971), Michael D. Horlick
William & Mary Law Review
No abstract provided.
Federal Income Taxation--Section 165 (C) Loss Allowed For Securities Loaned To Brokerage Firm That Subsequently Became Insolvent And Sold The Securities To Meet The Claims Of Creditors--Stahl V. United States, Michigan Law Review
Michigan Law Review
It is frequently said that there are only two certainties in life: death and taxes. The Court of Appeals for the District of Columbia Circuit recently upheld a district court decision that considerably eased the latter burden for plaintiff-taxpayer in Stahl v. United States. On April 12, 1962, Mrs. Stahl, a widowed musician and music teacher, reached an agreement with Balough & Company (Balough), a Washington securities firm, under which she was to surrender to it control of securities with a market value of approximately $210,000. Balough used the securities to meet the minimum capital requirements for brokerage firms established …
Securities Regulation - Application Of Section 16(B) - Beneficial Ownership Liability For Short-Swing Profits. Emerson Electric Co. V. Reliance Electric Co., 434 F.2d 918 (8th Cir. 1970), Donald G. Owens
William & Mary Law Review
No abstract provided.
Implied Civil Remedy For Violation Of Section 16(A) Of The Securities Exchange Act Of 1934
Implied Civil Remedy For Violation Of Section 16(A) Of The Securities Exchange Act Of 1934
Washington and Lee Law Review
No abstract provided.
The Securities Investor Protection Act Of 1970: A New Federal Role In Investor Protection, Allan Gates
The Securities Investor Protection Act Of 1970: A New Federal Role In Investor Protection, Allan Gates
Vanderbilt Law Review
It has long been a matter of common knowledge that securities, investment involves an element of financial risk. In addition to the obvious hazards of injudicious investment, such as market decline and failure of the corporate venture, there is an appreciable risk of financial loss to the investor due to the potential insolvency of his broker-dealer. Until recently it had been the policy of the federal government to restrict its protection against this latter risk to measures designed to prevent broker-dealer insolvencies and, when an insolvency did occur, to an ordering of the priorities of customer claims in bankruptcy. In …
The Taxation Of Stock Dividends And The Tax Reform Act Of 1969--Foreboding Implications And Constitutional Uncertainties, John A. Pickens
The Taxation Of Stock Dividends And The Tax Reform Act Of 1969--Foreboding Implications And Constitutional Uncertainties, John A. Pickens
Vanderbilt Law Review
Federal income taxation of stock dividends has followed a diverse course. Since the introduction of a federal income tax on all stock dividends in 1916, five major changes have occurred in this area. The most recent of these changes is embodied in section 421 of the Tax Reform Act of 1969, which amends section 305 of the Internal Revenue Code of 1954. When the 1969 Amendments are compared with the treatment of stock dividends under the Internal Revenue Code of 1954, they can be viewed, in conjunction with the regulations issued in 1969 under the 1954 Code, as initiating a …
A Judicial Challenge To The Sec's Shareholder Proposal Rule
A Judicial Challenge To The Sec's Shareholder Proposal Rule
Washington and Lee Law Review
No abstract provided.
Blue Sky Law--West Virginia Securities Laws And The Promoter, Thomas R. Goodwin
Blue Sky Law--West Virginia Securities Laws And The Promoter, Thomas R. Goodwin
West Virginia Law Review
No abstract provided.
Proposed Sec Rules For Private Offerings: The Impact On Venture Capital Financing, Gregory A. Kearns
Proposed Sec Rules For Private Offerings: The Impact On Venture Capital Financing, Gregory A. Kearns
University of Michigan Journal of Law Reform
In order to facilitate venture capital financing, corporations rely upon the private offering exemption from the registration and prospectus requirements of the Securities Act of 1933. In an attempt to prevent this exemption from serving as a conduit for the flow of securities into the public securities markets, the Securities and Exchange Commission (SEC) has proposed new rules regulating the resale of securities purchased in a private offering. These proposals would alter, among other things, the existing holding period, sales limitation, and financial information requirements. This article will examine the impact of the proposed *rules on venture capital financing of …
State Securities Regulation Of Real Estate Investment Trusts, David G. Epstein
State Securities Regulation Of Real Estate Investment Trusts, David G. Epstein
Law Faculty Publications
If one of John Saxe's blind men of Indostan were to prate about a real estate investment trust (REIT) with knowledge only of state securities regulations thereof, his commentary would be no more accurate or revealing than his descriptions of the elephant. For almost a decade, state blue sky regulation has presented the primary legal obstacle to the organization of real estate investment trusts. This article will consider the nature and problems of such regulation.
Administrative Law - Securities And Exchange Commission's Determinations Governing Security Holders' Proxy Proposals Held Subject To Judicial Review, Thomas J. Montgomery
Administrative Law - Securities And Exchange Commission's Determinations Governing Security Holders' Proxy Proposals Held Subject To Judicial Review, Thomas J. Montgomery
Loyola University Chicago Law Journal
No abstract provided.
The Public-Interest Proxy Contest: Reflections On Campaign Gm, Donald E. Schwartz
The Public-Interest Proxy Contest: Reflections On Campaign Gm, Donald E. Schwartz
Michigan Law Review
Proxy contests are generally fought for control of a corporation. The rules governing this form of corporate combat seek to provide shareholders with adequate information about the rival forces for control so that they can intelligently choose between them. The information furnished in proxy materials and discussions at annual meetings have traditionally been devoted almost entirely to subjects such as finance, production, acquisitions, and the like.
The Role Of Scienter And The Need To Limit Damages In Rule 10b-5 Actions--The Texas Gulf Sulphur Litigation, J. Kent Dunlap
The Role Of Scienter And The Need To Limit Damages In Rule 10b-5 Actions--The Texas Gulf Sulphur Litigation, J. Kent Dunlap
Kentucky Law Journal
No abstract provided.
Corporations--Securities Exchange Act Of 1934, § 16(B)--"Sale" Defind, Steve Hixson
Corporations--Securities Exchange Act Of 1934, § 16(B)--"Sale" Defind, Steve Hixson
Kentucky Law Journal
No abstract provided.