Download or read book The SEC s Neglected Weapon written by Marc I. Steinberg and published by . This book was released on 2018 with total page 45 pages. Available in PDF, EPUB and Kindle. Book excerpt: Section 17(a)(3) has been widely neglected as a weapon in the Securities and Exchange Commission's (SEC) arsenal against insider trading. Section 17(a)(3) carries the potential of providing the SEC with an advantage that is not afforded by Section 10(b), Rule 10b-5, or Rule 14e-3 -- the authority to prosecute insider trading claims premised on the lesser mental state of negligence, thus casting a wider net to enforce insider trading regulations against a new category of defendants -- negligent inside traders as well as negligent tippers and tippees. Currently, when pursuing insider trading violations, the Securities and Exchange Commission (SEC) primarily relies on the authority granted by Section 10(b) and the corresponding Rule 10b-5. Although these provisions have become the standard in prosecuting insider trading enforcement actions, the level of culpability that the SEC must prove under these provisions is rigorous and has created a void in the spectrum of liability for insider trading causes of action. The objective of this article is to propose a method that will allow regulators to bridge the gap that currently exists in the context of insider trading liability, and to discuss how the SEC's task of proving liability would be significantly lessened (and presumably more successful) if it could pursue insider trading claims that require proof of a lesser mental state. In order to accomplish this task, this article addresses: 1) the potential untapped resource of Section 17(a)(3) with respect to SEC enforcement of insider trading abuse; 2) the theoretical concept of negligent insider trading; and 3) the manner in which to remedy this disparate treatment -- namely, a legislative amendment to Section 17(a)(3) that will broaden the scope of this statute to apply to negligent sellers as well as negligent purchasers.

Download or read book Rethinking Securities Law written by Marc I. Steinberg and published by Oxford University Press. This book was released on 2021 with total page 361 pages. Available in PDF, EPUB and Kindle. Book excerpt: "This book focuses on a very timely and important subject that merit s comprehensive analysis: "rethinking" the securities laws, with particular emphasis on the Securities Act and Securities Exchange Act. The system of securities regulation that prevails today in the United States is one that has been formed through piecemeal federal legislation, Securities and Exchange Commission (SEC) in vocation of its administrative authority, and self-regulatory episodic action. As a consequence, the presence of consistent and logical regulation all too often is lacking. In both transactional and litigation settings, with frequency, mandates apply that are erratic and antithetical to sound public policy. Over four decades ago, the American Law Institute (ALI) adopted the ALI Federal Securities Code. The Code has not been enacted by Congress and its prospects are dim. Since that time, no treatise, monograph, or other source comprehensively has focused on this meritorious subject. The objective of this book is to identify the deficiencies that exist under the current regimen, address their failings, provide recommendations for rectifying these deficiencies, and set forth a thorough analysis for remediation in order to prescribe a consistent and sound securities law framework. By undertaking this challenge, the book provides an original and valuable resource for effectuating necessary law reform that should prove beneficial to the integrity of the U.S. capital markets, effective and fair government and private enforcement, and the enhancement of investor protection"--

Download or read book Compiled Statutes of Montana written by Montana and published by . This book was released on 1888 with total page 1478 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Compiled Statutes of Montana written by Montana Territory and published by . This book was released on 1888 with total page 1482 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Design of Structures to Resist the Effects of Atomic Weapons Single story Frame Buildings written by United States. Department of the Army and published by . This book was released on 1965 with total page 242 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book The Acquisition of Weapons Systems written by United States. Congress. Joint Economic Committee. Subcommittee on Economy in Government and published by . This book was released on 1973 with total page 1222 pages. Available in PDF, EPUB and Kindle. Book excerpt: Examines DOD practices in procuring military weapons systems, other military hardware, and goods and services.

Download or read book Charter and the Amendments Thereof and Ordinances of the City of Cairo written by Cairo (Ill.) and published by . This book was released on 1872 with total page 224 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Mills Annotated Statutes of the State of Colorado Sec 2508 4834 J W written by Colorado and published by . This book was released on 1891 with total page 1574 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Negligence written by Edward Beers Thomas and published by . This book was released on 1904 with total page 1488 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Naval Research Logistics Quarterly written by and published by . This book was released on 1965 with total page 986 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Western Weekly Reports written by and published by . This book was released on 1924 with total page 1016 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Pale Horse Coming written by Stephen Hunter and published by Simon and Schuster. This book was released on 2008-08-26 with total page 708 pages. Available in PDF, EPUB and Kindle. Book excerpt: In 1951, after Sam Vincent disappears while investigating a prison for violent African American convicts in Thebes, Mississippi, Earl Swagger finds himself confronting a town guarded by a private army of brutal, Klan-type thugs.

Download or read book A Treatise on the Law of Negligence written by Horace Smith and published by . This book was released on 1886 with total page 636 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book Code of Federal Regulations written by and published by . This book was released on 1993 with total page 856 pages. Available in PDF, EPUB and Kindle. Book excerpt: Special edition of the Federal register, containing a codification of documents of general applicability and future effect as of July 1 ... with ancillaries.

Download or read book Internal Revenue Bulletin written by United States. Bureau of Internal Revenue and published by . This book was released on 1936 with total page 1170 pages. Available in PDF, EPUB and Kindle. Book excerpt: A consolidation of all items of a permanent nature published in the weekly Internal revenue bulletin, ISSN 0020-5761, as well as a cumulative list of announcements relating to decisions of the Tax Court.

Download or read book Government Liability for Atomic Weapons Testing Program written by United States. Congress. Senate. Committee on the Judiciary and published by . This book was released on 1987 with total page 182 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Download or read book To the Abandoned Sacred Beasts 15 written by Maybe and published by Kodansha USA. This book was released on 2024-05-14 with total page 194 pages. Available in PDF, EPUB and Kindle. Book excerpt: “Farewell, my dear friend Hank Henriette.” The capital, Newfort, is engulfed in fire, and there is now no turning back. Enemies, allies, and Incarnates alike lay down their lives for what they believe in. What will become of the fate of the Incarnates at the end of this deadly war? The dark fantasy masterpiece, created by the editors behind Attack on Titan and Flowers of Evil, twirls towards its dramatic finale!