Securities Act of 1933Securities industry – Law and legislationSecuritiesUnited States v. NaftalinTouche Ross & Co. v. RedingtonSecurities and Exchange CommissionSecurities regulationSection 17(a)In this article, the author analyzes two recent Supreme Court decisions involving the securities acts. The ...
Securities LitigationSecurities FraudWhite Collar CrimeTraditionally, securities fraud has been civilly enforced and criminally prosecuted under Section 10(b) of the Securities Exchange Act and Rule 10b-5 promulgateSocial Science Electronic Publishing
The Securities Exchange Act of 19341 superimposes a rather complex regulatory structure upon the intricate and sensitive mechanism of the securities market... PAJ Loomis - 《Geo.wash.l.rev》 被引量: 13发表: 1959年 SEC reporting obligations for insiders and large traders under Section 13 and Sec...
Share on Facebook securities (redirected fromSecurities Exchange Act of 1934) Legal Financial Encyclopedia Wikipedia Related to Securities Exchange Act of 1934:Securities Act of 1933 se·cu·ri·ty (sĭ-kyo͝or′ĭ-tē) n.pl.se·cu·ri·ties ...
Section 15 makes “control persons” jointly and severally liable to the issuer. Section 17(a) provides for liability for fraudulent sales of securities. This provision is similar to Section 10b of the Securities Exchange Act and Rule 10b-5.The...
Section 11 of the Securities Act: The Cornerstone Needs Some Tuckpointing.Presents proposed changes to section 11 of the Securities Act of 1933, which provides the disclosure regime of registration of securities for sale to the public. Objective of Section 11; Nature of the underlying claim under...
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SEC. 17. (77q) (a) It shall be unlawful for any person in the offer or sale of any securities (including security-based swaps) or any security-based swap agreement (as defined in section 3(a)(78) of the Securities Exchange Act 27) by the use of any means or instruments of transpo...
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) June 6, 2023 Washington (State or other jurisdiction of incorporation) ...
The SEC’s complaint specifically alleges that Friehling and F&H violated section 17(a) of the Securities Act, violated and aided and abetted violations of section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and aided and abetted violations of sections 206(1) and 206(2) of the...