Professional responsibilities and attorney liabilities

Article Abstract:

Attorneys can be liable for Rule 10b-5 violations for making false statements or failing to disclose material facts to non-client investors. The ABA Ethics committee has issued guidelines for attorneys handling sales of unregistered securities and tax shelters. The SEC is reconsidering its procedures for handling Rule 2(e) and similar administrative proceedings against lawyers.

Legal ethics

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Shelf registration: past, present and future

Article Abstract:

The SEC's regulations regarding securities shelf registration are presented. Also included is a shelf registration history analysis and proposals to broaden or amend regulations.

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Staff legal bulletin no. 7 (September 4, 1998): plain English disclosure

Article Abstract:

The SEC Division of Corporation Finance staff legal bulletin no. 7, issued Sep 4, 1998, regarding the use of plain English in securities disclosure documents is presented.

United States, Law, Legal language

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