Law Commons^™

Application Of The Federal Mail And Wire Fraud Statutes To Criminal Liability For Stock Market Insider Trading And Tipping, William K.S. Wang

University of Miami Law Review

SEC Rule 10b-5 covers a great deal of stock market insider trading and tipping, but certainly not all. For insider trading defendants, some elements of criminal liability may be different and possibly easier to satisfy under mail/wire fraud than under SEC Rule 10b-5 (e.g., materiality, and the requirements for tipper and tippee liability recently tightened for Rule 10b-5 by the Second Circuit). Generally, courts have not addressed these possible differences.

With insider trading and tipping, the victim of mail/wire fraud could be either the information-owner or the party on the other side of the transaction. The courts have not examined …

Securities Regulations Investigations - United States-Swiss Treaty Attempts To Increase Cooperation In Releasing Names Of Swiss-Based Account Holders Involved In United States Securities And Exchange Commission Investigations, Daniel B. Simon Iii

Georgia Journal of International & Comparative Law

No abstract provided.

Sac Capital: Firm Criminal Liability, Civil Fines, And The Insulated Ceo, Frances E. Chapman, Marianne Jennings, Lauren Tarasuk

American University Business Law Review

No abstract provided.

The Extraterritorial Reach Of United States Securities Actions After Morrison V. National Australian Bank, Nathan Lee

Richmond Journal of Global Law & Business

No abstract provided.