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Securities Law Commons

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Securities Law

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Articles 211 - 239 of 239

Full-Text Articles in Securities Law

Insider Trading By Foreigners In United States Securities Markets: A Pervasive Problem And Prosecutorial Nightmare, Scott M. Zemser May 1990

Insider Trading By Foreigners In United States Securities Markets: A Pervasive Problem And Prosecutorial Nightmare, Scott M. Zemser

Cardozo Law Review

No abstract provided.


Structured Finance: The New Way To Securitize Assets, Steven L. Schwarcz Feb 1990

Structured Finance: The New Way To Securitize Assets, Steven L. Schwarcz

Cardozo Law Review

No abstract provided.


Combine And Conquer: Rethinking The Regulation Of Stock Index Futures, Marianne T. Spinelli Aug 1989

Combine And Conquer: Rethinking The Regulation Of Stock Index Futures, Marianne T. Spinelli

Cardozo Law Review

No abstract provided.


Securities Law - Statutes Of Limitations - Limitations Period For Express Causes Of Action Under Securities Exchange Act Of 1934 Applied To Implied Cause Of Action Under Section 10(B) And Rule 10b-5, Carla J. Metzman Jan 1989

Securities Law - Statutes Of Limitations - Limitations Period For Express Causes Of Action Under Securities Exchange Act Of 1934 Applied To Implied Cause Of Action Under Section 10(B) And Rule 10b-5, Carla J. Metzman

Villanova Law Review (1956 - )

No abstract provided.


Transfer -On-Death Securities Registration: A New Title Form, Richard V. Wellman Apr 1987

Transfer -On-Death Securities Registration: A New Title Form, Richard V. Wellman

Scholarly Works

This article is inspired by a new form for registering corporate shares that is now available to certain stockholders of Southwestern Bell Corporation (SBC). Designed to replace stock registrations that make two or more persons appear to be co-owners, the new form, referred to herein as a transfer-on-death (TOD) registration, enables a sole owner to register a designation of a death beneficiary in whose favor a transfer on death of the registered shares may occur outside the probate process. The new registration form extends a key provision of the Uniform Probate Code (U.P.C.) that was designed to encourage development of …


On A Just Measure Of The Efficiency Of Law And Governmental Policies, John L. Hanks Oct 1986

On A Just Measure Of The Efficiency Of Law And Governmental Policies, John L. Hanks

Cardozo Law Review

No abstract provided.


Disclosure Of Preliminary Merger Negotiations, Randi S. Goldberg Oct 1986

Disclosure Of Preliminary Merger Negotiations, Randi S. Goldberg

Cardozo Law Review

No abstract provided.


Materiality And The Efficient Capital Market Model: A Recipe From The Total Mix, Roger J. Dennis Apr 1983

Materiality And The Efficient Capital Market Model: A Recipe From The Total Mix, Roger J. Dennis

William & Mary Law Review

No abstract provided.


Loan Participation Agreements As Securities: Judicial Interpretations Of The Securities Act Of 1933 And The Securities Exchange Act Of 1934, J. Thomas Cookson Feb 1983

Loan Participation Agreements As Securities: Judicial Interpretations Of The Securities Act Of 1933 And The Securities Exchange Act Of 1934, J. Thomas Cookson

William & Mary Law Review

No abstract provided.


Regulation D: Coherent Exemptions For Small Businesses Under The Securities Act Of 1933, Marvin R. Mohney Oct 1982

Regulation D: Coherent Exemptions For Small Businesses Under The Securities Act Of 1933, Marvin R. Mohney

William & Mary Law Review

No abstract provided.


Fairness Requirement In Section 3(A)(10) Of The Securities Act Of 1933, Bruce H. Matson Mar 1982

Fairness Requirement In Section 3(A)(10) Of The Securities Act Of 1933, Bruce H. Matson

William & Mary Law Review

No abstract provided.


Corporate Governance And The Shareholders' Derivative Action: Rules And Remedies For Implementing The Monitoring Model, Bruce Dickstein Jan 1982

Corporate Governance And The Shareholders' Derivative Action: Rules And Remedies For Implementing The Monitoring Model, Bruce Dickstein

Cardozo Law Review

Report and Recommendation to the New York State Bar Association by the Committee on Federal Constitution


Rule 242 And Section 4(6) Securities Registration Exemptions: Recent Attempts To Aid Small Businesses, Susan E. Satkowski Oct 1981

Rule 242 And Section 4(6) Securities Registration Exemptions: Recent Attempts To Aid Small Businesses, Susan E. Satkowski

William & Mary Law Review

No abstract provided.


Burks V. Lasker, Lewis F. Powell Jr. Oct 1978

Burks V. Lasker, Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.


Securities And Exchange Commission V. Sloan, Lewis F. Powell Jr. Oct 1977

Securities And Exchange Commission V. Sloan, Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.


Santa Fe Industries, Inc. V. Green, Lewis F. Powell Jr. Oct 1976

Santa Fe Industries, Inc. V. Green, Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.


E.I. Du Pont De Nemours & Co. V. Collins, Lewis F. Powell Jr. Oct 1976

E.I. Du Pont De Nemours & Co. V. Collins, Lewis F. Powell Jr.

Supreme Court Case Files

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.


Federal Legislation To Enhance Competition In The Securities Industry Mar 1975

Federal Legislation To Enhance Competition In The Securities Industry

William & Mary Law Review

No abstract provided.


Gordon V. New York Stock Exchange, Inc. (Nyse), Lewis F. Powell Jr. Oct 1974

Gordon V. New York Stock Exchange, Inc. (Nyse), Lewis F. Powell Jr.

Supreme Court Case Files

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.


Private Enforcement Of The Federal Proxy Rules: Remedial Alternatives Dec 1973

Private Enforcement Of The Federal Proxy Rules: Remedial Alternatives

William & Mary Law Review

No abstract provided.


Regulation Of Pyramid Sales Ventures Oct 1973

Regulation Of Pyramid Sales Ventures

William & Mary Law Review

No abstract provided.


Securities, John A. Humbach Jan 1973

Securities, John A. Humbach

Elisabeth Haub School of Law Faculty Publications

During the past year, the Second Circuit again had occasion to decide several cases in which significant issues under the federal securities law were raised. Although none of last year's lot seems destined to become a landmark, these cases do contain some important refinements and clarifications of earlier, broad policy thrusts. The flurry of new regulatory promulgations by the Securities and Exchange Commission may have commanded the focus of the securities bar in recent months, but the decisions of the Second Circuit in the securities area, last year as usual, also deserve the securities lawyer's careful attention.


Kern County Land Commission V. Occidental Petroleum Corporation, Lewis F. Powell Jr. Oct 1972

Kern County Land Commission V. Occidental Petroleum Corporation, Lewis F. Powell Jr.

Supreme Court Case Files

No abstract provided.


Review Of Wall Street: Security Risk By Hurd Baruch, John A. Humbach Jan 1972

Review Of Wall Street: Security Risk By Hurd Baruch, John A. Humbach

Elisabeth Haub School of Law Faculty Publications

No abstract provided.


The Canadian Corporation And Wall Street: Application Of United States Securities Laws To Canadian Issuers, Merril Sobie Jan 1967

The Canadian Corporation And Wall Street: Application Of United States Securities Laws To Canadian Issuers, Merril Sobie

Elisabeth Haub School of Law Faculty Publications

The purpose of this article is to present the Canadian legal practitioner with a summary of those sections of American securities laws which are applicable to foreign issuers. Discussion, for the most part, will be limited to a brief outline of the more salient aspects of securities regulation; a complete presentation of any one feature would be impossible within the confines of a single article. Wherever possible, relevant authorities will be cited and counsel would be wise to examine their more detailed treatment. Moreover, though federal legislation in this area is not exclusive, discussion will be limited to the national …


Amendments Affecting Perfection Of Security Interests, Roy L. Steinheimer, Jr. Jan 1964

Amendments Affecting Perfection Of Security Interests, Roy L. Steinheimer, Jr.

Legal Scholarship by Dean Steinheimer

No abstract provided.


Securities Issuance And Regulation: The New Indiana Securities Law, Arthur J. Pasmas Jr. Oct 1962

Securities Issuance And Regulation: The New Indiana Securities Law, Arthur J. Pasmas Jr.

Indiana Law Journal

No abstract provided.