Survey of recent significant securities cases
Article Abstract:
SEC 1996 efforts to enforce US securities laws are surveyed. Areas reviewed include insider trading, corporate disclosure, over-the-counter and equity markets, and pay-to-play practices of the municipal bond market. Also covered is the SEC's sanctioning of the National Assn of Securities Dealers and the agency's loss in the Johnson v. SEC case.
Publication Name: Annual Institute on Securities Regulation
Subject: Law
ISSN: 0195-5756
Year: 1996
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Significant securities decisions in the federal circuits
Article Abstract:
A survey of cases in the US Courts of Appeals dealing with securities law issues between Aug 1, 1997 and Aug 1, 1998 is presented. Issues include rule 10b-5, securities definition, attorney ethics, enforcement, and arbitration.
Publication Name: Annual Institute on Securities Regulation
Subject: Law
ISSN: 0195-5756
Year: 1998
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Significant securities decisions in the federal circuits
Article Abstract:
Decisions of the US Courts of Appeals made from Sep 1996 to Sep 1997 involving securities laws and issues are surveyed.
Publication Name: Annual Institute on Securities Regulation
Subject: Law
ISSN: 0195-5756
Year: 1997
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