Securities Regulation Law Journal - Abstracts

Securities Regulation Law Journal
TitleSubjectAuthors
A blue sky state of mind: the meaning of "willfully" in blue sky criminal cases.LawSargent, Mark A.
An intrastate of mind: a critical review of the intrastate offering exemption.(securities trading exemption)LawCoffey, Jeremy B.
Another trap for the unwary - transactions by investment advisors for officers and directors of publicly traded corporations.LawBarron, 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.LawBarron, Robert A.
Application of Rule 144(k) by analogy to "nonrestricted" securities.(SEC Rule 144)LawBarron, 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.LawBarron, Robert A.
A question arising under Rule 144(d)(1) when a non-affiliate sells restricted securities in a private sale.LawBarron, Robert A.
Blue sky mysteries of the National Securities Markets Improvements Act.LawSargent, Mark A.
Commission seeks comment on market structure issues.(SEC)LawBarron, Robert A., McNamara, Brian M.
Control and restricted securites.LawBarron, Robert A.
Control and restricted securities.LawBarron, Robert A.
Control and restricted securities.LawBarron, Robert A.
Corporate introspection in the nineties: "to thine own self be true."LawMorley, Matt T., Pitt, Harvey
Cramdown settlements in securities class action cases.LawStern, William L.
Damages in churning cases.LawBooth, Richard A.
Effect of asset freeze order on payment of attorney fees: SEC v. Interlink Data Network of Los Angeles, Inc.LawHurwitz, Michael H.
Effect of asset freeze order on payment of attorney fees: SEC v. Interlink Data Network of Los Angeles, Inc.LawHurwitz, Michael H.
Error: Form 144 - instruction number 2 to table I can be ignored. (SEC Form 144)LawBarron, Robert A.
Five-year statute of limitations period held applicable.LawGordon, Harold K.
Insider trading and the prospective investor after the Chestman decision. (United States v. Chestman)LawBriggs, Thomas W.
Insider trading: new SEC rules and an important new case.LawHorowitz, Robert A., Bitar, Karen Y.
Jurisdiction under federal securities laws to recover ill-gotten gains from third parties.LawStarr, Judith R.
Liability for faulty earnings projections and optimistic statements.LawEisenberg, Jonathan
Litigating securities fraud as a breach of fiduciary duty in Delaware.LawKlock, 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)LawHiler, Bruce A., Lombard, Joseph C.
On the same side of the table: is Investment Company Act rule 17d-1 partly invalid?LawGormley, R. James
Overcoming defenses to churning claims under the federal securities laws.LawDashjian, Michael B.
Parsing Pinter four years later: defining a statutory seller under section 12 of the Securities Act. (Pinter v. Dahl)LawFisher, William O.
Proposed reduction in the Rule 144 holding periods.LawBarron, Robert A.
Quarterly survey of SEC rulemaking and major appellate decisions.LawBarron, Robert A., McNamara, Brian M.
Quarterly survey of SEC rulemaking and major appellate decisions.LawBarron, Robert A., McNamara, Brian M.
Quarterly survey of SEC rulemaking and major appellate decisions.(third quarter, 1999)LawBarron, Robert A., McNamara, Brian M.
Regulation FD: its creation, its authority, its possible impact.(SEC regulation FD regarding disclosure)LawConner, Robert J.
Revision: SEC now requires public disclosure of Regulation S, section 4(2), and other exempt issuer sales.LawBarron, 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?LawBarron, 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.LawBarron, Robert A.
RICO, securities fraud, and Holmes: is the future of civil RICO now? (Holmes v. Security Investors' Protection Corp.)LawMilich, Marvin F.
Rule 144A and integration.LawBradford, C. Steven
SEC approves NASD short sale rule. (National Association of Securities Dealers)LawMcCaw, 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.)LawEisenberg, Jonathan
SEC rule 701: does rule 701 status "flow through" to transferees?LawBarron, Robert A.
SEC Section 16 regulations and compliance by qualified employee benefit plans.LawQuinlan, 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)LawRagozino, Anthony, Gambino, Charlie J.
Section 12(2) of the Securities Act of 1933: a remedy for fraudulent postdistribution trading?LawMaynard, Therese H.
Securities arbitration - a decade after McMahon.LawSteinberg, Marc I.
Securities litigation developments: the "bespeaks caution" doctrine and related defenses.LawSteinberg, Marc I.
Securities malpractice exposure: client representation - certain problematic solutions.LawSteinberg, Marc I.
Shareholder proxy suits under federal securities laws should be viewed as direct actions.LawQuinn, Randall W.
Short selling: further issues.LawRamsay, Ian M.
Short selling. (of securities)LawJanvey, Ralph S.
Some comments on listed call option transactions and listed put option transactions by owners of control and restricted securities.LawBarron, Robert A.
Some comments on sales of "restricted securities" back to the issuer.LawBarron, Robert A.
Some comments on SEC rule 10b5-1 and rule 10b5-1 trading plans.LawBarron, Robert A.
Some comments on the "cashless exercise" of employee stock options - financing through the securities brokerage firm.LawBarron, Robert A.
Some comments on the discount valuation of publicly traded stock for federal estate, gift, and income tax purposes. (part 1)LawBarron, Robert A.
Some comments on the discount valuation of publicly traded stock for federal estate, gift, and income tax purposes. (part 2)LawBarron, 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.LawBarron, Robert A.
Some comments on the usual Rule 144 scenario and related matters.LawBarron, Robert A.
Some comments on the usual Rule 144 scenario and related matters revisited: obtaining prior "approval" of the insurer's counsel.LawBarron, Robert A.
Some comments on when a trust may be deemed an "affiliate" for Rule 144 purposes.LawBarron, Robert A.
Some observations on SEC rule 144 and venture capital limited partnerships and corporations: revisited.LawBarron, 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).LawBarrow, Robert A.
Some thoughts on gifts of publicly traded appreciated corporate stock to private foundations. (includes related article on requirements of SEC Rule 144)LawBarron, 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)LawRazzano, Frank C.
Standing to sue under rule 10b-5: a fresh look at the new investment doctrine.(SEC rule 10b-5)LawSidorsky, Robert, Finnerty, John D.
Standing under section 16(b) of the Securities Exchange Act.LawSteinberg, Marc I., Lansdale, Daryl L., Jr.
The "accredited" individual purchaser under SEC regulation D: time to up the ante.LawSteinberg, Marc I.
The Feuerstein Report of investigation: supervisory responsibilities of legal and compliance officers of brokerage firms.LawJanvey, Ralph S.
The interplay of SEC Rule 145(d) and Section 3(a)(10) of the Securities Act of 1933.LawBarron, Robert A.
The interrelationship of securities class action litigation and pension plan tax policy: what's really at stake?LawSnyder, Lester B., Gonick, Jerry G.
The new Audit Committee rules.(Acuditing Standards Board)LawBackman, Gerald S.
The "pooling period": an overlooked "legal landmine." (accounting for acquisition in a corporate reorganization)LawBarron, Robert A.
The SEC acts to slam the door on Regulation S abuses.LawBarron, Robert A.
The SEC acts to slam the door or Regulation S abuses.LawBarron, Robert A.
The SEC and prime bank securities frauds: past, present and future.LawStark, 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.LawBarron, Robert A.
The SEC challenges longstanding approaches.LawBoyajian, 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.LawBarron, 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.LawBarron, Robert A.
The SEC's enforcement program and section 10A.(of the Securities Exchange Act)LawHuey-Burns, Paul, Ray, Liza M.
The SEC's new public disclosure rule: regulation FD.LawHiler, Bruce A.
The SEC's small business initiatives: regulatory reform or shabby conduct?LawJanvey, Ralph S.
The SEC staff still follows St. Ives Holding Co., Inc.LawBarron, Robert A.
The Section 3(a)(10) exemption has been torpedoed but is still afloat and making headway.(Securities Act of 1933)LawBarron, 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)LawBarron, 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)LawBarron, Robert A.
The Securities and Exchange Commission's use of cease and desist authority: a preliminary appraisal.LawHansen, Steven W.
The selection of institutional investors as lead plaintiffs under the Private Securities Litigation Reform Act.LawCoolidge, Bruce E., Ahearn, Laura B.
The small public company after the Penny Stock Reform Act of 1990.LawNiesar, Gerald V., Niebauer, David M.
The "synthetic sale of business" doctrine.LawFiflis, Ted J.
The Telephone Interpretations Manual Supplement.LawBarron, Robert A.
The test for determining foreign private issuer status.LawLocher, Michelle A., Sloane, William H.
Think globally, act locally: it's time to reform the intrastate exemption.LawMorrissey, Daniel J.
"Tips" to avoid corporate/securities malpractice.LawSteinberg, Marc I.
Two recurring situations in which a short sale against the box of non-affiliate restricted stock is not permitted.LawBarron, Robert A.
This website is not affiliated with document authors or copyright owners. This page is provided for informational purposes only. Unintentional errors are possible.