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Securities Law Commons

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1974

Journal

Discipline
Institution
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Articles 1 - 30 of 34

Full-Text Articles in Securities Law

Competition And Regulation In The Stock Markets, Robert Pozen Dec 1974

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 Dec 1974

The Uniform Securities Act--A Step Forward In State Regulation, Roger W. Tompkins

West Virginia Law Review

No abstract provided.


Fearless Forecasts: Corporate Liability For Earnings Forecasts That Miss The Mark Nov 1974

Fearless Forecasts: Corporate Liability For Earnings Forecasts That Miss The Mark

Boston College Law Review

No abstract provided.


Insider Trading—The Market Anonymity Gap In Rule 10b-5, Judith A. Levitt Oct 1974

Insider Trading—The Market Anonymity Gap In Rule 10b-5, Judith A. Levitt

Buffalo Law Review

No abstract provided.


Judicial Control Of Cash Tender Offers-A Few Practical Recommendations, Ronald W. Oakes Oct 1974

Judicial Control Of Cash Tender Offers-A Few Practical Recommendations, Ronald W. Oakes

Indiana Law Journal

No abstract provided.


A Negligence Standard For Material Misstatements And Omissions In Tender Offers Under § 14(E) Of The Securities Exchange Act Of 1934 Sep 1974

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? Sep 1974

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.


Limiting The Plaintiff Class: Rule 10b-5 And The Federal Securities Code, Michigan Law Review Jun 1974

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 ...


Securities -- Standing To Sue Under Sec Rule 10b-5 And The Purchaser-Seller Limitation -- Manor Drug Stores V. Blue Chip Stamps, Larry E. Bergmann May 1974

Securities -- Standing To Sue Under Sec Rule 10b-5 And The Purchaser-Seller Limitation -- Manor Drug Stores V. Blue Chip Stamps, Larry E. Bergmann

Boston College Law Review

No abstract provided.


Securities -- Attorney's Opinion Letter In An Unregistered Sale -- Standard Of Culpability In Sec Injunction Action -- Sec V. Spectrum, Ltd., Randolph H. Elkins May 1974

Securities -- Attorney's Opinion Letter In An Unregistered Sale -- Standard Of Culpability In Sec Injunction Action -- Sec V. Spectrum, Ltd., Randolph H. Elkins

Boston College Law Review

No abstract provided.


Income Tax--Tax Free Transfers To Controlled Corporations, Frederick L. Delp, James P. Holland Apr 1974

Income Tax--Tax Free Transfers To Controlled Corporations, Frederick L. Delp, James P. Holland

West Virginia Law Review

No abstract provided.


The Environment And The Federal Securities Laws, Raymand L. Friedlob, James W. Sanderson Apr 1974

The Environment And The Federal Securities Laws, Raymand L. Friedlob, James W. Sanderson

Boston College Law Review

No abstract provided.


Northside Motors, Inc. V. Brinkley, 282 So. 2d 617 (Fla. 1973), Florida State University Law Review Apr 1974

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.


The Donation-Redemption Of Closely Held Stock As A Constructive Dividend To The Donor Mar 1974

The Donation-Redemption Of Closely Held Stock As A Constructive Dividend To The Donor

Washington and Lee Law Review

No abstract provided.


Vicarious Liability For Securities Law Violations: Respondeat Superior And The Controlling Person Sections Mar 1974

Vicarious Liability For Securities Law Violations: Respondeat Superior And The Controlling Person Sections

William & Mary Law Review

No abstract provided.


Federal Power Commission -- Approval Of Securities Issue By Public Utility -- Duty To Investigate Allegations Of Anticompetitive Conduct Raised By Intervenors In A Section 204 Proceeding -- Gulf States Utilities Co. V. F.P.C., Larry E. Bergmann Feb 1974

Federal Power Commission -- Approval Of Securities Issue By Public Utility -- Duty To Investigate Allegations Of Anticompetitive Conduct Raised By Intervenors In A Section 204 Proceeding -- Gulf States Utilities Co. V. F.P.C., Larry E. Bergmann

Boston College Law Review

No abstract provided.


Lanza V. Drexel & 9 & Co And Rule 10b-5 Approaching The Scienter Controversy In Private Actions, James R. Mcguirk, Peter E. Moll Feb 1974

Lanza V. Drexel & 9 & Co And Rule 10b-5 Approaching The Scienter Controversy In Private Actions, James R. Mcguirk, Peter E. Moll

Boston College Law Review

No abstract provided.


Wills--Implied Gifts Of Remainders, W. Richard Mccune Jr. Feb 1974

Wills--Implied Gifts Of Remainders, W. Richard Mccune Jr.

West Virginia Law Review

No abstract provided.


Cash Tender Offers: Judicial Interpretation Of Section 14(E), Alan J. Ross Jan 1974

Cash Tender Offers: Judicial Interpretation Of Section 14(E), Alan J. Ross

Cleveland State Law Review

In the past fifteen years, the frequency of corporate takeover attempts in the form of cash tender offers has increased dramatically. During most of this period, cash tender offers were outside the scope of the federal securities laws. It was not until 1968 that Congress amended the Securities Exchange Act of 1934 by passing the Williams Act for the express purpose of placing the, cash tender offer under federal regulation. Section 14(e), the antifraud provision of the Williams Act, has been much litigated in the short time since its passage, and the meaning of the section is slowly being ...


Scienter And Rule 10b-5: Development Of A New Standard..., Alan J. Ross, James F. Sealler Jan 1974

Scienter And Rule 10b-5: Development Of A New Standard..., Alan J. Ross, James F. Sealler

Cleveland State Law Review

The Securities and Exchange Act of 1934 has had extensive impact on public awareness of corporate information, and has unquestionably provided substantial protection to the investing public. The anti-fraud provisions of this act, and the regulations promulgated thereunder, engendered a number of issues material to the determination of the standards for violations. Perhaps the most difficult and confusing of these issues has been the concept of scienter.


Equine Syndications: A Legal Overview, Ronald L. Gaffney Jan 1974

Equine Syndications: A Legal Overview, Ronald L. Gaffney

Kentucky Law Journal

No abstract provided.


Reform Of The Florida Securities Law, James Mofsky Jan 1974

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 Jan 1974

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.


Interstate Scope Of The Uniform Securities Act—A Case Analysis Jan 1974

Interstate Scope Of The Uniform Securities Act—A Case Analysis

Washington University Law Review

No abstract provided.


Perlman V. Feldmann: A Case Study In Contemporary Corporate Legal History, Jan G. Deutsch Jan 1974

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 of ...


Updating The Trust Indenture Act, Howard M. Friedman Jan 1974

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 ...


Intrastate Offerings Under Rule 147, J. William Hicks Jan 1974

Intrastate Offerings Under Rule 147, J. William Hicks

Michigan Law Review

In an effort to publicize administrative and judicial interpretations of the exemption, to protect investors, and to provide more certainty in determining the parameters of section 3(a)(ll), the SEC has adopted rule 147. This Article, in three parts, will examine that rule. Part I is devoted to an explanation of the rule; it will indicate how the rule differs from earlier interpretations of section 3(a)(ll) and discuss the problems that the rule leaves unanswered. Part II will consider the interrelationships among the various sections of the rule, as well as interpretative issues that have not yet ...


Insider Liability For Short-Swing Profits: The Substance And Function Of The Pragmatic Approach, Michigan Law Review Jan 1974

Insider Liability For Short-Swing Profits: The Substance And Function Of The Pragmatic Approach, Michigan Law Review

Michigan Law Review

This Note will discuss the inquiries encompassed by the "possibility of abuse" test. It will also evaluate whether the test is properly employed only in determining that an unorthodox transaction is or is not a "purchase" or "sale" or whether the test could better be used as a threshold inquiry in all cases.


Securities - Outsiders Who Trade On Inside Information Held Accountable To The Corporation For Their Profits On The Basis Of Common Law Fiduciary Principles, Timothy J. Carson Jan 1974

Securities - Outsiders Who Trade On Inside Information Held Accountable To The Corporation For Their Profits On The Basis Of Common Law Fiduciary Principles, Timothy J. Carson

Villanova Law Review

No abstract provided.


The Controlling Persons Provisions: Conduits Of Secondary Liability Under Federal Securities Law, Kenneth I. Levin Jan 1974

The Controlling Persons Provisions: Conduits Of Secondary Liability Under Federal Securities Law, Kenneth I. Levin

Villanova Law Review

No abstract provided.