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Securities Law Commons

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1975

Discipline
Institution
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Publication
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Articles 1 - 30 of 51

Full-Text Articles in Securities Law

Private Causes Of Action Under Section 206 Of The Investment Advisers Act, Michigan Law Review Dec 1975

Private Causes Of Action Under Section 206 Of The Investment Advisers Act, Michigan Law Review

Michigan Law Review

This Note examines the propriety of implying a cause of action for damages under section 206. Upon concluding that such an implication is appropriate, it then suggests a scope for section 206 actions that implements the Act's underlying purposes.


Appraisal Rights: Allowance For Prejudgment Interest, J Kirkland Grant Nov 1975

Appraisal Rights: Allowance For Prejudgment Interest, J Kirkland Grant

Boston College Law Review

No abstract provided.


Tax — Treatment Of Alleged Violations Of Section 16 (B) Of The Securities Exchange Act Of 1934 — Cummings V. Commissioner, Janet S. Painter Nov 1975

Tax — Treatment Of Alleged Violations Of Section 16 (B) Of The Securities Exchange Act Of 1934 — Cummings V. Commissioner, Janet S. Painter

Boston College Law Review

No abstract provided.


Increasing Application Of Federal Securities Laws To Real Estate Transactions, Robert J. Robbins Jr. Oct 1975

Increasing Application Of Federal Securities Laws To Real Estate Transactions, Robert J. Robbins Jr.

North Carolina Central Law Review

No abstract provided.


Securities Regulation--Definition Of A Securityshare Of A Nonprofit Cooperative Housing Corporation Is Not A Security--United Housing Foundation, Inc. V. Forman Oct 1975

Securities Regulation--Definition Of A Securityshare Of A Nonprofit Cooperative Housing Corporation Is Not A Security--United Housing Foundation, Inc. V. Forman

BYU Law Review

No abstract provided.


Tsc Industries Inc. V. Northway, Inc., Lewis F. Powell Jr. Oct 1975

Tsc Industries Inc. V. Northway, Inc., Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.


Foremost-Mckesson, Inc. V. Provident Securities Co., Lewis F. Powell Jr. Oct 1975

Foremost-Mckesson, Inc. V. Provident Securities Co., Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.


Far-Reaching Equitable Remedies Under The Securities Acts And The Growth Of The Federal Corporate Law, Robert J. Malley Oct 1975

Far-Reaching Equitable Remedies Under The Securities Acts And The Growth Of The Federal Corporate Law, Robert J. Malley

William & Mary Law Review

No abstract provided.


Going Private: Business Practices, Legal Mechanics, Judicial Standards And Proposals For Reform, Lewis D. Solomon Oct 1975

Going Private: Business Practices, Legal Mechanics, Judicial Standards And Proposals For Reform, Lewis D. Solomon

Buffalo Law Review

No abstract provided.


Attorney's Responsibilities: Adversaries At The Bar Of The Sec, Roberta S. Karmel, Joseph C. Daley Jul 1975

Attorney's Responsibilities: Adversaries At The Bar Of The Sec, Roberta S. Karmel, Joseph C. Daley

Faculty Scholarship

No abstract provided.


The Extraterritorial Application Of The Federal Securities Code, Roberta S. Karmel Jul 1975

The Extraterritorial Application Of The Federal Securities Code, Roberta S. Karmel

Faculty Scholarship

No abstract provided.


Iii. Rule 10b-5 Jun 1975

Iii. Rule 10b-5

Washington and Lee Law Review

No abstract provided.


Professional Responsibility And Self-Regulation Of The Securities Lawyer, James H. Cheek, Iii Jun 1975

Professional Responsibility And Self-Regulation Of The Securities Lawyer, James H. Cheek, Iii

Washington and Lee Law Review

No abstract provided.


Extraterritorial Application Of Section 16(B) Of The Securities Exchange Act Of 1934-Wagman V. Astle, 380 F. Supp. 497 (S.D.N.Y. 1974) Jun 1975

Extraterritorial Application Of Section 16(B) Of The Securities Exchange Act Of 1934-Wagman V. Astle, 380 F. Supp. 497 (S.D.N.Y. 1974)

Washington and Lee Law Review

No abstract provided.


Survey Of 1974 Securities Law Developments Jun 1975

Survey Of 1974 Securities Law Developments

Washington and Lee Law Review

No abstract provided.


Ii. The 140 Series Rules Jun 1975

Ii. The 140 Series Rules

Washington and Lee Law Review

No abstract provided.


Ix. Stock Exchanges And The Antitrust Laws Jun 1975

Ix. Stock Exchanges And The Antitrust Laws

Washington and Lee Law Review

No abstract provided.


Factors Determining The Degree Of Culpability Necessary For Violation Of The Federal Securities Laws In Information Transmission Cases, David S. Ruder Jun 1975

Factors Determining The Degree Of Culpability Necessary For Violation Of The Federal Securities Laws In Information Transmission Cases, David S. Ruder

Washington and Lee Law Review

No abstract provided.


Iv. The Tender Offer - A Developing Concept Jun 1975

Iv. The Tender Offer - A Developing Concept

Washington and Lee Law Review

No abstract provided.


V. Injunctions And Damages Under The' Williams Act-Defensive Mechanisms, Punitive Sanctions, Remedial Devices Jun 1975

V. Injunctions And Damages Under The' Williams Act-Defensive Mechanisms, Punitive Sanctions, Remedial Devices

Washington and Lee Law Review

No abstract provided.


Sec Enforcement Techniques: Expanding And Exotic Forms Of Ancillary Relief, James C. Treadway, Jr. Jun 1975

Sec Enforcement Techniques: Expanding And Exotic Forms Of Ancillary Relief, James C. Treadway, Jr.

Washington and Lee Law Review

No abstract provided.


Loss And Transaction Causation: The Second Circuit Resolves The Causation Controversy In Majority Control Situations Jun 1975

Loss And Transaction Causation: The Second Circuit Resolves The Causation Controversy In Majority Control Situations

Washington and Lee Law Review

No abstract provided.


I. Definition Of A "Security" Jun 1975

I. Definition Of A "Security"

Washington and Lee Law Review

No abstract provided.


Vi. Going Private - A Public Concern Jun 1975

Vi. Going Private - A Public Concern

Washington and Lee Law Review

No abstract provided.


Vii. Section 16(B) Jun 1975

Vii. Section 16(B)

Washington and Lee Law Review

No abstract provided.


Viii. Broker-Dealer Regulation Jun 1975

Viii. Broker-Dealer Regulation

Washington and Lee Law Review

No abstract provided.


X. The Securities Investor Protection Act Of 1970 (Sipa) Jun 1975

X. The Securities Investor Protection Act Of 1970 (Sipa)

Washington and Lee Law Review

No abstract provided.


Securities Law -- Ten Percent Stock Ownership -- Prerequisite To Section 16 (B) Short-Swing Liability -- Provident Securities Co. V. Foremost-Mckesson, Inc., Joseph Pizzurro Jun 1975

Securities Law -- Ten Percent Stock Ownership -- Prerequisite To Section 16 (B) Short-Swing Liability -- Provident Securities Co. V. Foremost-Mckesson, Inc., Joseph Pizzurro

Boston College Law Review

No abstract provided.


Elements Of Recovery Under Rule 10b 5: Scienter, Reliance, And Plaintiff's Reasonable Conduct Requirement, Rutheford B. Campbell Jr. Mar 1975

Elements Of Recovery Under Rule 10b 5: Scienter, Reliance, And Plaintiff's Reasonable Conduct Requirement, Rutheford B. Campbell Jr.

Law Faculty Scholarly Articles

A comparison of the commentaries on rule 10b-5 indicates that uncertainty is widespread in this area of securities law. One area that is needlessly confused is the proper selection and definition of those elements necessary for recovery in a 10b-5 action. The purpose of this article is to consider four distinct elements that continue to be the source of constant litigation and comment and to suggest an approach that clarifies their meaning and use. The four elements are: (1) scienter (the defendant's state of mind), (2) reliance, (3) justifiable reliance, and (4) materiality. This article will analyze the use ...


Application Of The Antifraud Provisions Of The Federal Securities Laws To Exempt Offerings: Duties Of Underwriters And Counsel, Robert W. Doty Mar 1975

Application Of The Antifraud Provisions Of The Federal Securities Laws To Exempt Offerings: Duties Of Underwriters And Counsel, Robert W. Doty

Boston College Law Review

No abstract provided.