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Securities Law Commons

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1984

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Institution
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Articles 1 - 30 of 47

Full-Text Articles in Securities Law

Compromise Merit Review—A Proposal For Both Sides Of The Debate, Gregory Gorder Dec 1984

Compromise Merit Review—A Proposal For Both Sides Of The Debate, Gregory Gorder

Washington Law Review

As is the case with many facets of modem life, government is involved in regulating the primary securities markets. Both federal and state laws require registration of initial securities offerings. Federal registration is procedural in nature, requiring full disclosure. State registiation, on the other hand, usually includes "merit review" of proposed securities offerings; state administrators typically may deny registration of a security if the offering would not be fair, just, and equitable or would be unreasonable in certain respects. This Comment analyzes the advantages and disadvantages of merit review, specifically the discretionary power reposed in the state administrator, and proposes ...


Short-Swing Profiles In Failed Takeover Bids—The Role Of Section 16(B), Donna Darm Nov 1984

Short-Swing Profiles In Failed Takeover Bids—The Role Of Section 16(B), Donna Darm

Washington Law Review

This Comment examines the scope of section 16(b) liability for the unsuccessful takeover bidder. It then develops two possible analyses by which the courts might exempt the takeover bidder from section 16(b)'s provisions. Alternatively, it recommends that if the courts do not exonerate takeover bidders, they should at least allow a less harsh calculation of profit.


The Patentability Of Computer Programs: Merrill Lynch's Patent For A Financial Services System, Lynne B. Allen Oct 1984

The Patentability Of Computer Programs: Merrill Lynch's Patent For A Financial Services System, Lynne B. Allen

Indiana Law Journal

No abstract provided.


Schreiber V. Burlington Northern, Inc., Lewis F. Powell Jr. Oct 1984

Schreiber V. Burlington Northern, Inc., Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.


Lowe V. Securites And Exchange Commission, Lewis F. Powell Jr. Oct 1984

Lowe V. Securites And Exchange Commission, Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.


Bateman Eichler, Hill Richards, Inc. V. Berner, Lewis F. Powell Jr. Oct 1984

Bateman Eichler, Hill Richards, Inc. V. Berner, Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.


Gould V. Ruefenacht, Lewis F. Powell Jr. Oct 1984

Gould V. Ruefenacht, Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.


Landreth Timber Co. V. Landreth, Lewis F. Powell Jr. Oct 1984

Landreth Timber Co. V. Landreth, Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.


The Clarification Of Tippee Liability Under Rule 10b-5: Dirks V Sec, Anne T. Foley Sep 1984

The Clarification Of Tippee Liability Under Rule 10b-5: Dirks V Sec, Anne T. Foley

Boston College Law Review

No abstract provided.


The Ninth Circuit's Requirement Of Notice To Targets Of Third Party Subpoenas In Sec Investigations—A Remedy Without A Right—Jerry T. O'Brien, Inc. V. Sec, 704 F.2d 1065 (9th Cir. 1983), Rev'd, No. 83-751, Slip Op. (U.S. June 18, 1984), Judith Bellamy Peck Jul 1984

The Ninth Circuit's Requirement Of Notice To Targets Of Third Party Subpoenas In Sec Investigations—A Remedy Without A Right—Jerry T. O'Brien, Inc. V. Sec, 704 F.2d 1065 (9th Cir. 1983), Rev'd, No. 83-751, Slip Op. (U.S. June 18, 1984), Judith Bellamy Peck

Washington Law Review

The threat of civil, criminal, or administrative sanctions is, of course, the greatest risk faced by a subject of an SEC investigation. However, regardless of the investigatee's guilt or innocence, an investigation poses other hazards, especially damage to business reputation. SEC investigatees traditionally have had virtually no protection against the economic risks that accompany the investigative process. These risks have been seen as the unavoidable cost of pursuing a regulated activity. This Note examines generally the economic interests of SEC investigatees and reviews prior judicial treatment of these interests. The Note then analyzes the O'Brien decision, focusing on ...


Measuring Damages In Suitability And Churning Actions Under Rule 10b-5, Tracy A. Miner Jul 1984

Measuring Damages In Suitability And Churning Actions Under Rule 10b-5, Tracy A. Miner

Boston College Law Review

No abstract provided.


Florida's Response To The Need For Uniformity In Federal And State Securities Registration Exemption Requirements, Rex A. Hurley, Carla Green Jul 1984

Florida's Response To The Need For Uniformity In Federal And State Securities Registration Exemption Requirements, Rex A. Hurley, Carla Green

Florida State University Law Review

No abstract provided.


Insider Trading And The Insider Trading Sanctions Act Of 1984: New Wine Into New Bottles?, David M. Brodsky Jun 1984

Insider Trading And The Insider Trading Sanctions Act Of 1984: New Wine Into New Bottles?, David M. Brodsky

Washington and Lee Law Review

No abstract provided.


Oral Misrepresentations At "Roadshows" And In Other Settings: Illusory Liability Under Rule Lob-57 Jun 1984

Oral Misrepresentations At "Roadshows" And In Other Settings: Illusory Liability Under Rule Lob-57

Washington and Lee Law Review

No abstract provided.


Corporate Morality And Management Buyouts Jun 1984

Corporate Morality And Management Buyouts

Washington and Lee Law Review

No abstract provided.


The Severability Of Arbitrable And Nonarbitrable Securities Claims Jun 1984

The Severability Of Arbitrable And Nonarbitrable Securities Claims

Washington and Lee Law Review

No abstract provided.


Precious Metals Trading-The Last Frontier Of Unregulated Investment, David J. Gilberg Jun 1984

Precious Metals Trading-The Last Frontier Of Unregulated Investment, David J. Gilberg

Washington and Lee Law Review

No abstract provided.


Negligence Vs. Scienter: The Proper Standard Of Liability For Violations Of The Antifraud Provisions Regulating Tender Offers And Proxy Solicitations Under The Securities Exchange Act Of 1934 Jun 1984

Negligence Vs. Scienter: The Proper Standard Of Liability For Violations Of The Antifraud Provisions Regulating Tender Offers And Proxy Solicitations Under The Securities Exchange Act Of 1934

Washington and Lee Law Review

No abstract provided.


The Use Of The Fifth Amendment In Sec Investigations, Seymour Glanzer, Howard Schiffman, Mark Packman Jun 1984

The Use Of The Fifth Amendment In Sec Investigations, Seymour Glanzer, Howard Schiffman, Mark Packman

Washington and Lee Law Review

No abstract provided.


The Effect Of A Defendant's Affirmative Concealment Of His Securities Fraud On Section 10(B) Limitations Periods Jun 1984

The Effect Of A Defendant's Affirmative Concealment Of His Securities Fraud On Section 10(B) Limitations Periods

Washington and Lee Law Review

No abstract provided.


The Sale Of Business Doctrine: Judicial Exemption From The Federal Securities Laws Jun 1984

The Sale Of Business Doctrine: Judicial Exemption From The Federal Securities Laws

Washington and Lee Law Review

No abstract provided.


Extraterritorial Application Of Fraud Provisions Of The Commodity Exchange Act Jun 1984

Extraterritorial Application Of Fraud Provisions Of The Commodity Exchange Act

Washington and Lee Law Review

No abstract provided.


Reflections On Dual Regulation Of Securities: A Case Against Preemption, Manning Gilbert Warren Iii May 1984

Reflections On Dual Regulation Of Securities: A Case Against Preemption, Manning Gilbert Warren Iii

Boston College Law Review

No abstract provided.


Xii. Securities Law Mar 1984

Xii. Securities Law

Washington and Lee Law Review

No abstract provided.


Materiality, Law Reform, And Regulation By Prosecution, Michael Rosenzweig Feb 1984

Materiality, Law Reform, And Regulation By Prosecution, Michael Rosenzweig

Michigan Law Review

A Review of Regulation by Prosecution: The Securities & Exchange Commission Versus Corporate America by Roberta S. Karmel


When Is A Car A Bicycle? And Other Riddles: The Definition Of A Security Under The Federal Securities Laws, Tom Arnold Jan 1984

When Is A Car A Bicycle? And Other Riddles: The Definition Of A Security Under The Federal Securities Laws, Tom Arnold

Articles, Chapters in Books and Other Contributions to Scholarly Works

No abstract provided.


Application Of Respondeat Superior Principles To Securities Fraud Claims Under The Racketeer Influenced And Corrupt Organizations Act (Rico), Barbara Black Jan 1984

Application Of Respondeat Superior Principles To Securities Fraud Claims Under The Racketeer Influenced And Corrupt Organizations Act (Rico), Barbara Black

Faculty Articles and Other Publications

Part I of this article outlines RICO's statutory scheme, reviews the common law doctrines under which a principal may be liable for the acts of its agent and the policies behind these doctrines, and examines RICO decisions raising the issue of vicarious liability. Part II examines non-RICO federal cases and identifies relevant factors determining the appropriateness of applying respondeat superior and agency principles to federal statutes. Finally, Part III analyzes the specific provisions of RICO in light of the factors identified in Part II. The article concludes that these factors do not support the imposition of liability on defendants ...


Fraud On The Market: A Criticism Of Dispensing With Reliance Requirements In Certain Open Market Transactions, Barbara Black Jan 1984

Fraud On The Market: A Criticism Of Dispensing With Reliance Requirements In Certain Open Market Transactions, Barbara Black

Faculty Articles and Other Publications

The still-developing fraud on the market theory is the primary method by which securitiesf raudp laintiffs have attempted either to relax or eliminate the troubling reliance and causation requirements. Professor Black examines this emerging theory and suggests that the traditional common-lawfraud concepts that focus on reliance and causation still have validity and continue, even in this context, to offer appropriate
limitations on liability. The Article analyzes cases that have reduced or ignored this reliance element and explains why the legal concepts from which the fraud on the market theory evolved demand stricter adherence to reliance in certain markets but not ...


Federal Security Laws And Their Applicability To The Sale Of A Business: An Appeal For Regulatory Action, 17 J. Marshall L. Rev. 393 (1984), John W. Blenke Jr. Jan 1984

Federal Security Laws And Their Applicability To The Sale Of A Business: An Appeal For Regulatory Action, 17 J. Marshall L. Rev. 393 (1984), John W. Blenke Jr.

The John Marshall Law Review

No abstract provided.


Erosion Of The Privity Requirement In Section 12(2) Of The Securities Act Of 1933: The Expanded Meaning, Patricia O'Hara Jan 1984

Erosion Of The Privity Requirement In Section 12(2) Of The Securities Act Of 1933: The Expanded Meaning, Patricia O'Hara

Journal Articles

No abstract provided.