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Articles 1 - 30 of 43
Full-Text Articles in Securities Law
Competition And Regulation In The Stock Markets, Robert Pozen
Competition And Regulation In The Stock Markets, Robert Pozen
Michigan Law Review
Part I of this article suggests that the courts have not satisfactorily resolved the tension between competition and regulation in the stock markets, and that the proposed legislation would in fact aggravate that tension. Part II uses an economic model of stock transactions to derive an alternative approach for reconciling competitive and regulatory considerations. Part III applies this approach to several key governmental decisions in the transition from fixed commission rates to the central market system.
The Uniform Securities Act--A Step Forward In State Regulation, Roger W. Tompkins
The Uniform Securities Act--A Step Forward In State Regulation, Roger W. Tompkins
West Virginia Law Review
No abstract provided.
Securities Investor Protection Corporation V. Barbour, Lewis F. Powell Jr.
Securities Investor Protection Corporation V. Barbour, Lewis F. Powell Jr.
Supreme Court Case Files
No abstract provided.
Rondeau V. Mosinee Paper Corp., Lewis F. Powell Jr.
Rondeau V. Mosinee Paper Corp., Lewis F. Powell Jr.
Supreme Court Case Files
No abstract provided.
Blue Chip Stamps V. Manor Drug Stores, Lewis F. Powell Jr.
Blue Chip Stamps V. Manor Drug Stores, Lewis F. Powell Jr.
Supreme Court Case Files
No abstract provided.
Gordon V. New York Stock Exchange, Inc. (Nyse), Lewis F. Powell Jr.
Gordon V. New York Stock Exchange, Inc. (Nyse), Lewis F. Powell Jr.
Supreme Court Case Files
No abstract provided.
United States V. National Association Of Securities Dealers, Inc., Lewis F. Powell Jr.
United States V. National Association Of Securities Dealers, Inc., Lewis F. Powell Jr.
Supreme Court Case Files
No abstract provided.
United Housing Foundation V. Forman, Lewis F. Powell Jr.
United Housing Foundation V. Forman, Lewis F. Powell Jr.
Supreme Court Case Files
No abstract provided.
Judicial Control Of Cash Tender Offers-A Few Practical Recommendations, Ronald W. Oakes
Judicial Control Of Cash Tender Offers-A Few Practical Recommendations, Ronald W. Oakes
Indiana Law Journal
No abstract provided.
Insider Trading—The Market Anonymity Gap In Rule 10b-5, Judith A. Levitt
Insider Trading—The Market Anonymity Gap In Rule 10b-5, Judith A. Levitt
Buffalo Law Review
No abstract provided.
A Negligence Standard For Material Misstatements And Omissions In Tender Offers Under § 14(E) Of The Securities Exchange Act Of 1934
Washington and Lee Law Review
No abstract provided.
The Birnbaum Rule Rejected: Will Analysis Of Right To Bring Private Action Under § 10(B) Be Simplified?
Washington and Lee Law Review
No abstract provided.
Taking Stock Of The Court's Jurisdiction In A Sipa Liquidation, Roberta S. Karmel, Jeffery M. Weissman
Taking Stock Of The Court's Jurisdiction In A Sipa Liquidation, Roberta S. Karmel, Jeffery M. Weissman
Faculty Scholarship
No abstract provided.
Limiting The Plaintiff Class: Rule 10b-5 And The Federal Securities Code, Michigan Law Review
Limiting The Plaintiff Class: Rule 10b-5 And The Federal Securities Code, Michigan Law Review
Michigan Law Review
The Penn Central litigation, involving a large, publicly held corporation, illustrates the need to examine the reach of the federal antifraud provisions. This Note discusses the problem of defining the plaintiff class when the number of past and present shareholders who are potential plaintiffs is very great. Attention will center on the methods courts have used to limit the class of investors compensable under rule 10b-5. Also, the effect that enactment of present drafts of the American Law lnstitute's proposed Federal Securities Code would have on the composition of the plaintiff class in analogous actions will be discussed. Finally, the …
Northside Motors, Inc. V. Brinkley, 282 So. 2d 617 (Fla. 1973), Florida State University Law Review
Northside Motors, Inc. V. Brinkley, 282 So. 2d 617 (Fla. 1973), Florida State University Law Review
Florida State University Law Review
Uniform Commercial Code-SECURED TRANSACTIONS- REPOSSESSION OF COLLATERAL WITHOUT JUDICIAL PROCESS NOT VIOLATIVE OF FOURTEENTH AMENDMENT.
Recent Cases, Journal Staff
Recent Cases, Journal Staff
Vanderbilt Law Review
Antitrust Law--Robinson-Patman Act--To Satisfy the "In Commerce" Requirement of Section 2(a) at Least One of the Allegedly Discriminatory Sales in a Secondary-Line Case Must Cross a State Line
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Constitutional Law--Equal Protection--Exclusion of Pregnancy-Related Disabilities from State Salary Compensation Insurance Program Denies Equal Protection to Pregnant Employees
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Criminal Procedure--Grand Juries--Exclusionary Rule in Search and Seizure Cases Does Not Apply to Grand Jury Proceedings
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Securities Regulation-Rule 10b-5--Plaintiffs Who Are Neither Purchasers nor Sellers of Securities May Recover Under Rule 10b-5 if Injured in Their Capacity as Investors as a Direct Consequence of Fraud in Connection with a Securities Transaction …
Income Tax--Tax Free Transfers To Controlled Corporations, Frederick L. Delp, James P. Holland
Income Tax--Tax Free Transfers To Controlled Corporations, Frederick L. Delp, James P. Holland
West Virginia Law Review
No abstract provided.
Vicarious Liability For Securities Law Violations: Respondeat Superior And The Controlling Person Sections
William & Mary Law Review
No abstract provided.
Applying Securities Regulations To Sales Of Club Memberships Student Symposium - Interpreting The Statutory Definition Of A Security: Some Pragmatic Considerations., James P. Brennan
St. Mary's Law Journal
The term “association” ordinarily suggests a collective of people bound together in pursuit of a particular purpose. The purpose of many associations is to realize financial gain through investing members’ money under circumstances that may amount to the sale of a security by the association. There are various types of associations that sell club memberships. These transactions lie either within or without the scope of federal and state securities acts. In examining the substance of membership in an association, courts have identified the elements that determine whether a transaction is a security. The elements include the investment of a member’s …
Real Estate Investments As Securities: The Sufficiency Of The Howey Test Student Symposium - Interpreting The Statutory Definition Of A Security: Some Pragmatic Considerations., John W. Mcleod
St. Mary's Law Journal
The purpose of this article is to examine the kind of protection afforded to real estate investors through the securities acts passed the 1930s. The Supreme Court decision in SEC v. W.I. Howey Co. (1946) held that a security exists when (1) there is an investment of money (2) in a common enterprise (3) with profits to come solely from the efforts of others. This study considers the criticisms of Howey by two legal commentators of the late 1960s, Professor Coffee and Professor Long, in its examination of three main types of real estate investments: land syndications, condominiums, and cooperative …
The Donation-Redemption Of Closely Held Stock As A Constructive Dividend To The Donor
The Donation-Redemption Of Closely Held Stock As A Constructive Dividend To The Donor
Washington and Lee Law Review
No abstract provided.
Wills--Implied Gifts Of Remainders, W. Richard Mccune Jr.
Wills--Implied Gifts Of Remainders, W. Richard Mccune Jr.
West Virginia Law Review
No abstract provided.
Reform Of The Florida Securities Law, James Mofsky
Reform Of The Florida Securities Law, James Mofsky
Florida State University Law Review
No abstract provided.
An "Unfair Trade" Approach To Securities Regulation - A Reappraisal Of Common Law In Light Of Equity Funding, John Sibrava
An "Unfair Trade" Approach To Securities Regulation - A Reappraisal Of Common Law In Light Of Equity Funding, John Sibrava
Loyola University Chicago Law Journal
No abstract provided.
Equine Syndications: A Legal Overview, Ronald L. Gaffney
Equine Syndications: A Legal Overview, Ronald L. Gaffney
Kentucky Law Journal
No abstract provided.
Intrastate Offerings Under Rule 147, J. William Hicks
Intrastate Offerings Under Rule 147, J. William Hicks
Articles by Maurer Faculty
No abstract provided.
Perlman V. Feldmann: A Case Study In Contemporary Corporate Legal History, Jan G. Deutsch
Perlman V. Feldmann: A Case Study In Contemporary Corporate Legal History, Jan G. Deutsch
University of Michigan Journal of Law Reform
The author gives the following introduction to this article: “When I was a law student, taking a course in introductory corporate law, what was heard around the halls was that most of corporate law would be learned if one understood Perlman v. Feldmann. I agree with that statement, and I have agreed more strongly each year I myself have taught introductory corporate law. Indeed, I now believe one would also learn a good deal about the significance of-the corporation in American life during the past two decades. Unfortunately, however, it seems to me-on the basis of having read everything …
Updating The Trust Indenture Act, Howard M. Friedman
Updating The Trust Indenture Act, Howard M. Friedman
University of Michigan Journal of Law Reform
Holders of publicly distributed debt securities are, in essence, parties to contracts of adhesion. There is no opportunity for a purchaser of a debt security to negotiate the terms of his loan to the issuer. In addition, because there are a large number of geographically scattered small lenders, each of them is placed in a particularly vulnerable position. While lenders traditionally have numerous methods of protecting their interests, creditor protection is ineffective unless responsibility for enforcement is centralized. Widely scattered security holders find it difficult to police compliance with covenants in the loan agreement and to coordinate legal action in …
Editor's Foreword, Charles G. Burr Editor-In-Chief
Editor's Foreword, Charles G. Burr Editor-In-Chief
Vanderbilt Journal of Transnational Law
The Vanderbilt Journal of Transnational Law is a new undertaking at Vanderbilt Law School. The Journal is an outgrowth of the predecessor publication, The Vanderbilt International, which was established in 1967 as a bulletin of the Vanderbilt International Law Society. A number of factors, including increased student enrollment at the Law School and a growing awareness of global activities and problems, have facilitated the Journal's evolution into its present, expanded format. It is indeed appropriate that the lead article of the new publication should be authored by Judge Philip C. Jessup, who has long been the foremost advocate in the …
Securities Regulation In The United Kingdom: A Comparison With United States Practice, Robert L. Knauss
Securities Regulation In The United Kingdom: A Comparison With United States Practice, Robert L. Knauss
Vanderbilt Journal of Transnational Law
The most important securities market outside the United States is that of the United Kingdom. In both countries, the securities markets play a similar role and provide a viable method for the formation of capital. There are, however, a number of fundamental as well as practical differences in the methods by which the two countries have chosen to regulate their securities markets. This article will examine the current method and extent of securities regulation in the United Kingdom. In order to highlight certain aspects of the regulatory pattern and to make the system more comprehensible to American attorneys, this inquiry …