Rule 10b-5
Unintended Consequences: The Link Between Judge Friendly’s Texas Gulf Sulphur Concurrence and Recent Supreme Court Decisions Misconstruing Rule 10b 5
... In Justice Scalia’s view, the two-pronged transactional test offered the advantages of restrictiveness, predictability, and fidelity to the text. These advantages, however, are more apparent than real. Consider the ...
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Texas Gulf Sulphur and the Genesis of Corporate Liability Under Rule 10b 5
... On the other hand, the Second Circuit’s decision on corporate liability differs from its insider trading holding in that it also contained the seeds of limits, particularly scienter, that would be adopted by the Supreme ...
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Private Rule 10b-5 Recovery for Open Market Insider Trading: The Propriety of Privity and Reliance Requirements
... "In the final analysis, the question is how far the courts are to extend the private civil right of action under Section 10(b) and Rule 10b-5 when the alleged violation is t[r] ...
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Superintendent of Insurance v Bankers Life and Casualty Co : Supreme Court Expansion of Rule 10b 5
... Superintendent of Insurance v Bankers Life and Casualty Co Supreme Court Expansion of Rule 10b 5 SMU Law Review Volume 26 | Issue 4 Article 11 1972 Superintendent of Insurance v Bankers Life and Casua[.] ...
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Professor Alan R Bromberg's Rule 10b 5
... Professor Alan R Bromberg's Rule 10b 5 SMU Law Review SMU Law Review Volume 68 Issue 3 Article 6 2015 Professor Alan R Bromberg's Rule 10b 5 Professor Alan R Bromberg's Rule 10b 5 Marc I Steinberg Sou[.] ...
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Statutory Merger Involves a Purchase or Sale of Securities for Purposes of Rule 10b 5
... Statutory Merger Involves a Purchase or Sale of Securities for Purposes of Rule 10b 5 SMU Law Review Volume 22 | Issue 4 Article 13 1968 Statutory Merger Involves a Purchase or Sale of Securities for[.] ...
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"Loser Pays": The Latest Installment in the Battle Scarred, Cliff Hanging Survival of the Rule 10b 5 Class Action
... "Loser Pays" The Latest Installment in the Battle Scarred, Cliff Hanging Survival of the Rule 10b 5 Class Action SMU Law Review Volume 68 | Issue 3 Article 11 2015 "Loser Pays" The Latest Installment[.] ...
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The Liability of Outside Directors as Aiders and Abettors under Rule 10b 5
... The Liability of Outside Directors as Aiders and Abettors under Rule 10b 5 SMU Law Review Volume 28 Issue 1 Annual Survey of Texas Law Article 17 1974 The Liability of Outside Directors as Aiders and[.] ...
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The Need for a Formidable Private Right of Action in the Mutual Fund Context: An Analysis of Janus' Categorical Limitation on Primary Liability Under Rule 10b-5
... under Rule 10b-5 when the investor has relied upon misstatements from a mutual fund, but the statements are reasonably attributable to a separate legal entity—the mutual fund ...
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Taming Rule 10b 5 1: The Unfinished Business of Texas Gulf Sulphur
... acted Rule 10b-5—a prohibition and prosecution on any corporate offi- cials’ use of material, non-public information for private ...Co., Rule 10b-5 grew into the sanction on ...
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Federal State Relations under Rule 10b 5 Procedural Relations
... Federal State Relations under Rule 10b 5 Procedural Relations SMU Law Review Volume 23 | Issue 3 Article 5 1969 Federal State Relations under Rule 10b 5 Procedural Relations Rufus S Scott Follow this[.] ...
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Private Remedies Available under Rule 10b 5
... Private Remedies Available under Rule 10b 5 SMU Law Review Volume 20 | Issue 3 Article 9 1966 Private Remedies Available under Rule 10b 5 David G McLane Follow this and additional works at https //sch[.] ...
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Lenders' Liability for Aiding and Abetting Rule 10b 5 Violations: The Knowledge Standard
... Lenders' Liability for Aiding and Abetting Rule 10b 5 Violations The Knowledge Standard SMU Law Review Volume 41 | Issue 3 Article 5 1987 Lenders' Liability for Aiding and Abetting Rule 10b 5 Violatio[.] ...
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Section 10(b) and Rule 10b-5 Federal Securities Law Claims: The Need for the Uniform Disposition of the Arbitration Issue
... Additionally, the Ayers court noted the apparent acceptance by Congress that Wilko applies to section 10(b) claims. In addition to federal se- curities law claims, inv[r] ...
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Securities Exchange Act of 1934 Restrictive Applications of Section 10(b) and Rule 10b 5 in Securities Fraud
... Although the Court recognized that the administrative and judicial precedents establish that silence in connection with the purchase or sale of securities can be a violation, "such liabi[r] ...
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Due Process and Criminal Penalties under Rule 10b 5: The Unconsitutionality and Inefficiency of Criminal Prosecutions for Insider Trading
... This broad statement of liability under 10b-5 for insider trading grew out of facts which plainly evidenced chicanery of one form or another.141 The court of appeals seized on this chica[r] ...
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The Extraterritorial Application of Rule 10b-5
... Such an assumption, however, may be too easily made since it is not clear under international legal standards what effects are indeed "substantial."' 2 Furth[r] ...
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How Big a House of Cards-Private Actions and Insiders under Rule 10b-5
... The first part of this note will discusss how the "implied" remedy under Rule lOb-5 often allows a plaintiff to completely disregard the restrictions placed[r] ...
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Triggering One-Year Limitations on Section 10(b) and Rule 10b-5 Actions: Actual Or Inquiry Discovery
... Securities fraud is hard to detect. State blue sky laws are typically two years. Limitations for fraud range from one to ten years. Justice Kennedy noted that because[r] ...
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Rethinking Janus: Preserving Primary-Participant Liability in SEC Antifraud Enforcement Actions
... between Rule 10b-5 and Section 17(a), and because the policy concerns regarding implied private rights of action underlying Janus are not present in Section 17(a) actions); SEC ...No. ...
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