Search:

Get Stu's Views by email > Cartoons, -> Securities Regulation Cartoons Securities and Exchange Commission v. Edwards (Read case) Description: securities defined federal securities laws investment scheme fixed rate of return investment contract Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Securities and Exchange Commission v. Zanford (Read case) Description: common law fraud federal securities laws 10(b) rule 10b5 securities act of 1933 Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 The Wharf (Holdings) Limited v. United International Holdings, Inc. (Read case) Description: sale of securities falls under 10(b) of the securites and exchange act of 1934; section 10(b) forbids the use of any manipulative or deceptive device or contrivance relating to the sale of a security that is misleading or operates as a fraud or deceit. Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Securities and Exchange Commission v. SG Ltd. Description: substance of a transaction securities laws apply pyramid scheme Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Long Island Lighting Company v. Barbash Description: proxy regulations newspapers direct and indirect communications proxies Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 J.I. Case Company v. Borak Description: proxy materials false and misleading statements private right of action fiduciary duty rescission Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 TSC Industries, Inc. v. Northway, Inc. Description: proxy omission not material substantial likelihood reasonable shareholder Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Mills v. Electric Auto Lite Company Description: materiality causality misstatement omission Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Virginia Bankshares, Inc. v. Sandberg (Read case) Description: directors opinions proxy statement rule 14a 9 and 14(a) knowingly false causation Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Diamond v. Oreamuno Description: directors and officers inside information own benefit derivative action insider trading Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Securities and Exchange Commission v. Texas Gulf Sulphur Company Description: trading material inside information disclose abstain disgorgement securities exchange act of 1934 Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Chiarella v. United States Description: nondisclosure fraud duty to speak Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Dirks v. Securities and Exchange Commission Description: insider trading aid and abet scienter quid pro quo Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 United States v. OHagan (Read case) Description: misappropriation confidential information fraud ethical wall misappropriation theory Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Basic Inc. v. Levinson Description: material information reasonable investor substantial likelihood reasonable shareholder Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Basic Inc. v. Levinson Description: presumption of reliance on misleading material statements market fraud on the market principle rebuttable presumption Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 In Re Oracle Corp. Derivative Litigation Description: directors lack of independence Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 In Re eBay, Inc. Shareholders Litigation Description: fiduciary duty of loyalty aiding and abetting usurp corporate opportunity doctrine self-dealing Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Robinson v. Glynn Description: ordinary business transactions common characteristics of stock corporation limited liability company security Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Securities and Exchange Commission v. Edwards (Read case) Description: Investment contract. Definition of Securities. Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Securities and Exchange Commission v. Wallenbrock (Read case) Description: Pyramid scheme. Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 In the Matter of Kevin Kunz (Read case) Description: Apparently separate securities offerings, single unified offering, single plan of financing made Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Securities and Exchange Commission v. GLT Dain Rauscher Description: Securities professionals are held to a standard of reasonable prudence. Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 United States v. Simon Description: Certifying a corporation's financial condition, question for the jury, fairly presented the financial condition of a corporation, generally accepted accounting priniciples, generally accepted auditing standards, material, materiality Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Gallagher v. Abbott Laboratories, Inc. Description: Publicly traded corporations have no duty of continuous disclosure to their investors. Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Affiliated Ute Citizens v. United States Description: Affirmative fraud, rule 10-b5 violation, facts are considered material if a reasonable investor might have considered them important in the making of an investment decision. causation concealment misrepresentation reliance Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 In Re Razorfish, Inc. Securities Litigation Description: Private Securities Litigation and Reform Act of 1995, PSLA, appoint lead plaintiff, appoint lead counsel, securities class action, lawyer-driven litigation. Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 KPMG, LLP v. SEC (Read case) Description: The sec, enjoin negligent conduct resulting in securities law violations, The Securities and Exchange Commission, evidence of past negligence, substantial likelihood of future violations of federal securities laws. Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 In Re WorldCom, Inc. Securities Litigation Description: forthcoming Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 In Re WorldCom, Inc. Securities Litigation Description: forthcoming Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Asher v. Baxter International, Inc. Description: forthcoming Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Asher v. Baxter International, Inc. Description: forthcoming Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 In the Matter of W.R. Grace & Co. Description: forthcoming Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Nursing Home Pension Fund, Local 144 v. Oracle Corp. Description: forthcoming Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Nursing Home Pension Fund, Local 144 v. Oracle Corp. Description: forthcoming Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Dura Pharmaceuticals Inc. v. Broudo (Read case) Description: forthcoming Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Corporate Fraud Description: Think outside the box. Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Quorum Description: Board member arrested. Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Corporate Crime Description: Embezzlement cartoons. Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 Think Outside the Box Description: Thinking inside the box. Select Usage (details) : Newsletters: Third Parties, $75Newsletters: In-House, $50Presentations: One-time, $50Presentations: 12 Months, $75Web Site: 12 Months, $100Print: Low Circulation (5,000), $100Print: Medium Circ. (50,000), $150Print: High Circ. (200,000+), $200Student Use, $10Teacher Class Use, $25 © 2002-2009 Stu. All Rights Reserved. Privacy Policy Powered by 4Psite