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Full-Text Articles in Securities Law
Hedge Fund Regulation: The Amended Investment Advisers Act Does Not Protect Investors From The Problems Created By Hedge Funds, Sean M. Donahue
Hedge Fund Regulation: The Amended Investment Advisers Act Does Not Protect Investors From The Problems Created By Hedge Funds, Sean M. Donahue
Cleveland State Law Review
Hedge funds are a viable investment alternative for financially sophisticated investors. However, because traditional hedge funds and funds of funds are unsuitable for average investors, these investors should be restricted from making such investments. Regardless of who invests in hedge funds, advisers of these entities must be regulated to assure that they do not commit fraud. In addition to monitoring advisers, the SEC must limit hedge funds' use of leverage to assure that market collapse does not occur. Part II of this Note describes the history and development of hedge funds. Part III illustrates the current problems facing the hedge …
Arizona Corporation Commission V. Media Products, Inc.: Clarification Of Competing Federal And State Securities Regulation, Marianne M. Jennings
Arizona Corporation Commission V. Media Products, Inc.: Clarification Of Competing Federal And State Securities Regulation, Marianne M. Jennings
Cleveland State Law Review
While most regulators at both the state and federal levels espouse an attitude and philosophy of cooperation, the fact is that, because of conflicts in authority and unresolved constitutional issues, most nationwide offerings are becoming more difficult to execute and are burdened by so many bureaucratic loopholes that the role of the United States as a capital market in the international sense may be greatly impaired. The purpose of this Article is to explain the coexistence of federal and state securities regulation, define the resolved constitutional issues, and discuss those that remain unresolved. Finally, the Article proposes a peaceful coexistence …
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.
Wall Street Trading Firms As Securities Insiders, Alan R. Johnston, Lawrence A. Coles Jr.
Wall Street Trading Firms As Securities Insiders, Alan R. Johnston, Lawrence A. Coles Jr.
Cleveland State Law Review
The purpose of this article is to examine this view of the Blau case, the implications of the SEC's decision In The Matter of Cady, Roberts and Co. and the possible ramifications of this view and of the Cady, Roberts decision on the future trading activities of investment banking firms.