Standing to sue under rule 10b-5: a fresh look at the new investment doctrine

Article Abstract:

The authors analyze the SEC's "purchase or sale" new investment rule 10b-5 standing qualification under the Securities Exchange Act, the US Southern District Court for New York's interpretation of the rule in Department of Economic Development v. Arthur Anderson & Co., and the use of risk analysis models in finding a consistent approach to the rule's application.

Models, Risk assessment, Standing (Law)

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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

Article Abstract:

The authors discuss criminal and civil cases brought against New York Stock Exchange floor brokers under Securities Exchange Act of 1934's section 11(a), in which the brokers were charged with conspiracy to "trade into" customer orders and thus increase prices.

Securities Dealers, Investment Banking and Securities Dealing, Security brokers and dealers, Cases, Conspiracy

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The SEC's enforcement program and section 10A

Article Abstract:

The authors analyze the SEC's interpretation and enforcement of independent auditors' obligations under the Securities Exchange Act's section 10A and whether the law's language supports SEC enforcement expansion.

Accounting and auditing, Practice, Securities, Securities fraud, United States. Securities and Exchange Commission

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