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Articles 1 - 16 of 16
Full-Text Articles in Securities Law
Recent Cases, Law Review Staff
Recent Cases, Law Review Staff
Vanderbilt Law Review
Constitutional Law--Due Process--Replevin Statutes Allowing Seizure of Property Without Notice and Opportunity for Hearing Violate Due Process Clause of Fourteenth Amendment
Constitutional Law--Right to Counsel--Absent Waiver,No Defendant May Be Imprisoned Unless Represented By Counsel At Trial
Federal Rules of Civil Procedure-Class Actions-Class Action Alleging Similar Injury by Separate Defendants Who Acted Similarly but Independently Allowed Under Rule 23(b)(3)
Securities Regulation--Securities Act of 1933-Access Of All Offerees To Additional Desired Information Required For Section 4(2) Private Offering Exemption
Torts-Joint Tort-feasors--Apportionment of Damages Among Negligent Joint Tort-feasors Based upon Relative Responsibility of Parties
Kern County Land Commission V. Occidental Petroleum Corporation, Lewis F. Powell Jr.
Kern County Land Commission V. Occidental Petroleum Corporation, Lewis F. Powell Jr.
Supreme Court Case Files
No abstract provided.
Warrants In Bond-Warrant Units: A Survey And Assessment, Henry B. Reiling
Warrants In Bond-Warrant Units: A Survey And Assessment, Henry B. Reiling
Michigan Law Review
This Article surveys the warrant in the context of a bond-warrant unit (the typical medium of issuance), and in four main subdivisions assesses (I) the warrant's role in corporate finance, and several major implications and features of its use today for (II) shareholders of the prospective issuer, (III) warrant holder, and (IV) issuer. The present status of the warrant as a highly significant mode of financing requires that particular attention be given to the justification for the issuance of warrants in the light of earlier authoritative criticism, and to the tax consequences and concepts now attending their use. Fortunately, several …
Attorney's Securities Law Liabilities, Roberta S. Karmel
Attorney's Securities Law Liabilities, Roberta S. Karmel
Faculty Scholarship
No abstract provided.
Rule 144: Sec Regulation Of Dispositions Of Securities By Controlling Persons And Private Places, Paul L. Sloan, Iii
Rule 144: Sec Regulation Of Dispositions Of Securities By Controlling Persons And Private Places, Paul L. Sloan, Iii
Vanderbilt Law Review
In recent years, dissatisfaction with the law that governs the disposition of securities by controlling persons' and private places under the Securities Act of 1933 has been voiced in numerous commentaries.Although criticism has been directed at varying facets of the problem,the displeasure of critics has resulted from two fundamental objections: first, the unnecessary ambiguity that heretofore has enveloped public resale of privately placed securities and, to a lesser degree, resale of securities by controlling persons; and secondly, the failure of the present law adequately to effect the disclosure policy of the Securities Act of 1933 and of the Securities Exchange …
Sec Rule 10b-5: A 1972 Profile
Recent Cases, Law Review Staff
Recent Cases, Law Review Staff
Vanderbilt Law Review
RECENT CASES
Antitrust--Sham Exception--Allegations of Purposeful and Concerted Use of Adjudicatory Processes to Harass and Deter Parties From Having Free Access to These Processes Constitute a Cause of Action Under Antitrust Laws
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Criminal Procedure--Confessions--Determination of Confession's Voluntariness by Preponderance of the Evidence Is Not Violative of Fifth Amendment Prohibition Against Self-Incrimination
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Landlord and Tenant--Forcible Entry and Detainer Statute--Provisions for Immediate Trial and Limitation of Triable Issues Not Violative of Due Process or Equal-Protection Clauses
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Securities Regulation-Section 16(b) of Securities Exchange Act of 1934--Insider May Sell Enough Stock To Bring His Holdings Below Ten Percent and Within Six …
Duties Of The Independent Director In Open-End Mutual Funds, Michigan Law Review
Duties Of The Independent Director In Open-End Mutual Funds, Michigan Law Review
Michigan Law Review
This Comment will analyze the role of independent directors in open-end mutual funds. It will consider the potential impact of recent decisions and statutory amendments and explore the possibilities of a more significant role for such directors. The discussion will focus on the following aspects of the directors' role: (1) the duty to review contractual arrangements between the fund and the external adviser; (2) the duty to serve as a "watchdog" over fund policy, brokerage allocation on portfolio transactions, and miscellaneous fund operations; and (3) the responsibilities upon the sale or merger of the investment adviser. In order to appreciate …
From Securities Lore To Securities Law, Peter L. Dwares
From Securities Lore To Securities Law, Peter L. Dwares
Duquesne Law Review
No abstract provided.
Sec Financial Requirements For Broker-Dealers: Economic Implications Of Proposed Revisions, James F. Mofsky
Sec Financial Requirements For Broker-Dealers: Economic Implications Of Proposed Revisions, James F. Mofsky
Indiana Law Journal
No abstract provided.
Mitigation Of Damages Through The Use Of Stock Market Indicators, Eugene G. Popow
Mitigation Of Damages Through The Use Of Stock Market Indicators, Eugene G. Popow
Indiana Law Journal
No abstract provided.
The Structure Of The Securities Market–Past And Future, William K.S. Wang, Thomas A. Russo
The Structure Of The Securities Market–Past And Future, William K.S. Wang, Thomas A. Russo
Faculty Scholarship
No abstract provided.
Review Of Wall Street: Security Risk By Hurd Baruch, John A. Humbach
Review Of Wall Street: Security Risk By Hurd Baruch, John A. Humbach
Elisabeth Haub School of Law Faculty Publications
No abstract provided.
Short Tendering Rule In The Sale Of Securities, Larry A. Oday
Short Tendering Rule In The Sale Of Securities, Larry A. Oday
Cleveland State Law Review
Rule 10b-4 of The Securities and Exchange Commission, also known as "the short tendering rule," might be described as one of the best kept secrets in securities regulation. Although it has been in effect for more than three years, very few attorneys or brokers know anything about it or have even heard of it.
Judicial Review Of Sec Rule 14a-8: No Action Decisions, Andrew A. Markus
Judicial Review Of Sec Rule 14a-8: No Action Decisions, Andrew A. Markus
Cleveland State Law Review
A recent decision of the United States Court of Appeals for the District of Columbia has focused attention on the dissident stockholders' right to have the courts review the Securities and Exchange Commission's informal acquiescence to management's refusal to include in its proxy statement a proposal of the dissidents. The controversy centers around proxy regulation 14a-82 promulgated pursuant to section 14 of the Securities and Exchange Act of 1934.
Baruch: Wall Street: Security Risk, Lewis D. Lowenfels
Baruch: Wall Street: Security Risk, Lewis D. Lowenfels
Michigan Law Review
A Review of Wall Street: Security Risk by Hurd Baruch