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
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An Economic Analysis of Section 16(b) of the Securities Exchange Act of 1934 The United States Securities and Exchange Commission (SEC) was established to protect investors and support fair and efficient financial markets. To combat bribery of foreign officials in the practice of business, the For...
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The First Circuit affirmed the dismissal of claims under Section 10(b) of the Exchange Act and Rule 10b-5 thereunder against a bank and its affiliates. The plaintiffs alleged that the bank misled investors into purchasing Puerto Rican municipal bonds and related securities (the PRMB securities)...
(757) 321-5000Securities Registered Pursuant to Section 12(b) of the Act:Title of Each Class Name of Each Exchange on WhichRegisteredNone NoneSecurities Registered Pursuant to Section 12(g) of the Act:Common Stock (par value $.01... D Tree - 《International Directory of》 被引量: 0发表...
1. 证券交易法 ...法》(Securities Act)和1934年《证券交易法》(Securities Exchange Act)约束,同时也涉及《投资公司法》、《破产法》、… baike.baidu.com|基于144个网页 2. 美国证券交易法 ...会对投资银行控股公司的监管权力是早在1934年的《美国证券交易法》(Securities Exchange Act)中就明确规定的,这一...
For purposes of any action brought by the Commission under subparagraph (b) or (d) of section 20, any person that knowingly or recklessly provides substantial assistance to another person in violation of a provision of this Act, or of any rule or regula-tion issued under this Act, shall ...
(B), and 4703(d) Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"),1 and Rule 19b-4 thereunder,2 notice is hereby given that on August 15, 2019, The Nasdaq Stock Market LLC ("Nasdaq" or "Exchange") filed with the Securities and Exchange Commission (...