The year in review: a bibliography

Article Abstract:

Securities law newspaper and journal articles focused on interpretation of existing statutes, case law and SEC releases as well as proposed securities litigation reforms in 1995. At issue in articles about proposed legislation was limitations of punitive damages and safe harbors for forward-looking information. Derivatives, professional liability, class actions and SEC procedures were also the focus of much securities law scholarship.

Bibliography

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Overview of an SEC enforcement proceeding

Article Abstract:

The SEC's Division of Enforcement has two major priorities - insider trading and financial disclosure. They begin investigations with informal inquiries before moving into formal investigations. Formal investigations include issuing subpoenas, privilege review, and examining witnesses. In order to protect confidential materials, SEC procedures and confidentiality rules should be followed.

United States. Securities and Exchange Commission

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What to plead and how to plead the defendants' state of mind in a federal securities class action: the plaintiffs' perspective

Article Abstract:

The pleading of state of mind in securities cases is governed by the Securities Act of 1933 and the Securities Exchange Act of 1934. Even though the Private Securities Litigation Reform Act of 1995 deals with pleading standards, no changes to state of mind proof requirements were made it. Strict liability is still the standard and recklessness is still accepted under the earlier acts.

Management, Class actions (Civil procedure), Class action lawsuits, Laws, regulations and rules, Burden of proof, Testimony, Capacity and disability

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