Securities Regulation Law Journal |
Title | Subject | Authors |
A blue sky state of mind: the meaning of "willfully" in blue sky criminal cases. | Law | Sargent, Mark A. |
An intrastate of mind: a critical review of the intrastate offering exemption.(securities trading exemption) | Law | Coffey, Jeremy B. |
Another trap for the unwary - transactions by investment advisors for officers and directors of publicly traded corporations. | Law | Barron, Robert A. |
A pledgor's ability to exercise subsequent influence over how a maintenance margin call can be met should not prevent a pledgee from selling the pledged stock in foreclosure athough it may prevent the pledgor from relying on the rule 10b5-1(c)(1)(i)(B)(3) affirmative defense. | Law | Barron, Robert A. |
Application of Rule 144(k) by analogy to "nonrestricted" securities.(SEC Rule 144) | Law | Barron, Robert A. |
A private charitable foundation may be able to sell, under Rule 144(k), stock donated by an affiliate of the issuer who is also a trustee of the foundation. | Law | Barron, Robert A. |
A question arising under Rule 144(d)(1) when a non-affiliate sells restricted securities in a private sale. | Law | Barron, Robert A. |
Blue sky mysteries of the National Securities Markets Improvements Act. | Law | Sargent, Mark A. |
Commission seeks comment on market structure issues.(SEC) | Law | Barron, Robert A., McNamara, Brian M. |
Control and restricted securites. | Law | Barron, Robert A. |
Control and restricted securities. | Law | Barron, Robert A. |
Control and restricted securities. | Law | Barron, Robert A. |
Corporate introspection in the nineties: "to thine own self be true." | Law | Morley, Matt T., Pitt, Harvey |
Cramdown settlements in securities class action cases. | Law | Stern, William L. |
Damages in churning cases. | Law | Booth, Richard A. |
Effect of asset freeze order on payment of attorney fees: SEC v. Interlink Data Network of Los Angeles, Inc. | Law | Hurwitz, Michael H. |
Effect of asset freeze order on payment of attorney fees: SEC v. Interlink Data Network of Los Angeles, Inc. | Law | Hurwitz, Michael H. |
Error: Form 144 - instruction number 2 to table I can be ignored. (SEC Form 144) | Law | Barron, Robert A. |
Five-year statute of limitations period held applicable. | Law | Gordon, Harold K. |
Insider trading and the prospective investor after the Chestman decision. (United States v. Chestman) | Law | Briggs, Thomas W. |
Insider trading: new SEC rules and an important new case. | Law | Horowitz, Robert A., Bitar, Karen Y. |
Jurisdiction under federal securities laws to recover ill-gotten gains from third parties. | Law | Starr, Judith R. |
Liability for faulty earnings projections and optimistic statements. | Law | Eisenberg, Jonathan |
Litigating securities fraud as a breach of fiduciary duty in Delaware. | Law | Klock, Mark |
New York Court of Appeals finds state-law claims attacking payment for order flow preempted by Exchange Act and SEC regulations. (Securities Exchange Act of 1934) | Law | Hiler, Bruce A., Lombard, Joseph C. |
On the same side of the table: is Investment Company Act rule 17d-1 partly invalid? | Law | Gormley, R. James |
Overcoming defenses to churning claims under the federal securities laws. | Law | Dashjian, Michael B. |
Parsing Pinter four years later: defining a statutory seller under section 12 of the Securities Act. (Pinter v. Dahl) | Law | Fisher, William O. |
Proposed reduction in the Rule 144 holding periods. | Law | Barron, Robert A. |
Quarterly survey of SEC rulemaking and major appellate decisions. | Law | Barron, Robert A., McNamara, Brian M. |
Quarterly survey of SEC rulemaking and major appellate decisions. | Law | Barron, Robert A., McNamara, Brian M. |
Quarterly survey of SEC rulemaking and major appellate decisions.(third quarter, 1999) | Law | Barron, Robert A., McNamara, Brian M. |
Regulation FD: its creation, its authority, its possible impact.(SEC regulation FD regarding disclosure) | Law | Conner, Robert J. |
Revision: SEC now requires public disclosure of Regulation S, section 4(2), and other exempt issuer sales. | Law | Barron, Robert A. |
Re-visiting the question: must a broker-dealer securities firm use another broker-dealer securities firm in selling its own restricted securities under Rule 144? | Law | Barron, Robert A. |
Re-visiting the question: must a broker-dealer securities firm use another broker-dealer securities firm in selling its own restricted securities under Rule 144. | Law | Barron, Robert A. |
RICO, securities fraud, and Holmes: is the future of civil RICO now? (Holmes v. Security Investors' Protection Corp.) | Law | Milich, Marvin F. |
Rule 144A and integration. | Law | Bradford, C. Steven |
SEC approves NASD short sale rule. (National Association of Securities Dealers) | Law | McCaw, Robert B., Bernstein, Gail C., Yim, Soo J. |
SEC rejects NASD mark-up test for illiquid securities. (National Association of Securities Dealers; In re Partnership Exchange Securities Co.) | Law | Eisenberg, Jonathan |
SEC rule 701: does rule 701 status "flow through" to transferees? | Law | Barron, Robert A. |
SEC Section 16 regulations and compliance by qualified employee benefit plans. | Law | Quinlan, William J., Jr., Harris, Mark M. |
Section 11(a) and rule 11A-1 of the Securities Exchange Act of 1934: long on the books, but rarely invoked rules that landed NYSE floor brokers in jail.(New York Stock Exchange) | Law | Ragozino, Anthony, Gambino, Charlie J. |
Section 12(2) of the Securities Act of 1933: a remedy for fraudulent postdistribution trading? | Law | Maynard, Therese H. |
Securities arbitration - a decade after McMahon. | Law | Steinberg, Marc I. |
Securities litigation developments: the "bespeaks caution" doctrine and related defenses. | Law | Steinberg, Marc I. |
Securities malpractice exposure: client representation - certain problematic solutions. | Law | Steinberg, Marc I. |
Shareholder proxy suits under federal securities laws should be viewed as direct actions. | Law | Quinn, Randall W. |
Short selling: further issues. | Law | Ramsay, Ian M. |
Short selling. (of securities) | Law | Janvey, Ralph S. |
Some comments on listed call option transactions and listed put option transactions by owners of control and restricted securities. | Law | Barron, Robert A. |
Some comments on sales of "restricted securities" back to the issuer. | Law | Barron, Robert A. |
Some comments on SEC rule 10b5-1 and rule 10b5-1 trading plans. | Law | Barron, Robert A. |
Some comments on the "cashless exercise" of employee stock options - financing through the securities brokerage firm. | Law | Barron, Robert A. |
Some comments on the discount valuation of publicly traded stock for federal estate, gift, and income tax purposes. (part 1) | Law | Barron, Robert A. |
Some comments on the discount valuation of publicly traded stock for federal estate, gift, and income tax purposes. (part 2) | Law | Barron, Robert A. |
Some comments on the reduction in the Rule 144(d) and Rule 144(k) holding periods and on the SEC's proposed changes to Rule 144. | Law | Barron, Robert A. |
Some comments on the usual Rule 144 scenario and related matters. | Law | Barron, Robert A. |
Some comments on the usual Rule 144 scenario and related matters revisited: obtaining prior "approval" of the insurer's counsel. | Law | Barron, Robert A. |
Some comments on when a trust may be deemed an "affiliate" for Rule 144 purposes. | Law | Barron, Robert A. |
Some observations on SEC rule 144 and venture capital limited partnerships and corporations: revisited. | Law | Barron, Robert A. |
Some recent developments relating to the circumstances under which a "restricted" warrant holder can "tack" the holding periods of the warrant and the underlying stock for purposes of rules 144(d) and 144(k). | Law | Barrow, Robert A. |
Some thoughts on gifts of publicly traded appreciated corporate stock to private foundations. (includes related article on requirements of SEC Rule 144) | Law | Barron, Robert A. |
So you want to be an international financial center ... are you prepared to spit in the giant's eye?(U.S. efforts to erode foreign bank secrecy) | Law | Razzano, Frank C. |
Standing to sue under rule 10b-5: a fresh look at the new investment doctrine.(SEC rule 10b-5) | Law | Sidorsky, Robert, Finnerty, John D. |
Standing under section 16(b) of the Securities Exchange Act. | Law | Steinberg, Marc I., Lansdale, Daryl L., Jr. |
The "accredited" individual purchaser under SEC regulation D: time to up the ante. | Law | Steinberg, Marc I. |
The Feuerstein Report of investigation: supervisory responsibilities of legal and compliance officers of brokerage firms. | Law | Janvey, Ralph S. |
The interplay of SEC Rule 145(d) and Section 3(a)(10) of the Securities Act of 1933. | Law | Barron, Robert A. |
The interrelationship of securities class action litigation and pension plan tax policy: what's really at stake? | Law | Snyder, Lester B., Gonick, Jerry G. |
The new Audit Committee rules.(Acuditing Standards Board) | Law | Backman, Gerald S. |
The "pooling period": an overlooked "legal landmine." (accounting for acquisition in a corporate reorganization) | Law | Barron, Robert A. |
The SEC acts to slam the door on Regulation S abuses. | Law | Barron, Robert A. |
The SEC acts to slam the door or Regulation S abuses. | Law | Barron, Robert A. |
The SEC and prime bank securities frauds: past, present and future. | Law | Stark, John Reed, Vietmeyer, N. Blair |
The SEC attacks abuses in the use of Form S-8 registration statement. | Law | |
The SEC attacks abuses in the use of Form S-8 registration statement. | Law | Barron, Robert A. |
The SEC challenges longstanding approaches. | Law | Boyajian, Victor H. |
The SEC reduces the Rule 144 and Rule 145 holding periods and makes significant proposals in the Rule 144, Rule 145 and regulations areas. | Law | Barron, Robert A. |
The SEC reduces the Rule 144 and Rule 145 holding periods and makes significant proposals in the Rule 144, Rule 145 and regulations areas. | Law | Barron, Robert A. |
The SEC's enforcement program and section 10A.(of the Securities Exchange Act) | Law | Huey-Burns, Paul, Ray, Liza M. |
The SEC's new public disclosure rule: regulation FD. | Law | Hiler, Bruce A. |
The SEC's small business initiatives: regulatory reform or shabby conduct? | Law | Janvey, Ralph S. |
The SEC staff still follows St. Ives Holding Co., Inc. | Law | Barron, Robert A. |
The Section 3(a)(10) exemption has been torpedoed but is still afloat and making headway.(Securities Act of 1933) | Law | Barron, Robert A. |
The section 3(a)(10) exemption has been torpedoed but is still afloat and making headway.(Securities Act of 1933 s. 3(a)(10))(restricted securities) | Law | Barron, Robert A. |
The Section 3(a)(10) exemption is alive and well -- the SEC staff will amend Staff Legal Bulletin No. 3.(Section 3(a)(10) of the National Securities Markets Improvement Act of 1996) | Law | Barron, Robert A. |
The Securities and Exchange Commission's use of cease and desist authority: a preliminary appraisal. | Law | Hansen, Steven W. |
The selection of institutional investors as lead plaintiffs under the Private Securities Litigation Reform Act. | Law | Coolidge, Bruce E., Ahearn, Laura B. |
The small public company after the Penny Stock Reform Act of 1990. | Law | Niesar, Gerald V., Niebauer, David M. |
The "synthetic sale of business" doctrine. | Law | Fiflis, Ted J. |
The Telephone Interpretations Manual Supplement. | Law | Barron, Robert A. |
The test for determining foreign private issuer status. | Law | Locher, Michelle A., Sloane, William H. |
Think globally, act locally: it's time to reform the intrastate exemption. | Law | Morrissey, Daniel J. |
"Tips" to avoid corporate/securities malpractice. | Law | Steinberg, Marc I. |
Two recurring situations in which a short sale against the box of non-affiliate restricted stock is not permitted. | Law | Barron, Robert A. |
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