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Tag: securities-regulation
39 items with this tag.
Apr 11, 2026
Affiliated Ute Citizens v. United States
securities-regulation
securities-exchange-act-1934
rule-10b-5
omissions
reliance
Apr 11, 2026
Blue Chip Stamps v. Manor Drug Stores
securities-regulation
securities-exchange-act-1934
rule-10b-5
standing
Apr 11, 2026
Central Bank of Denver v. First Interstate Bank of Denver
securities-regulation
securities-exchange-act-1934
rule-10b-5
aiding-abetting
implied-private-right
Apr 11, 2026
Chiarella v. United States
securities-regulation
securities-exchange-act-1934
insider-trading
duty-to-disclose
Apr 11, 2026
Ernst & Ernst v. Hochfelder
securities-regulation
securities-exchange-act-1934
rule-10b-5
scienter
negligence
Apr 11, 2026
J.I. Case Co. v. Borak
securities-regulation
securities-exchange-act-1934
implied-private-right
proxy
Apr 11, 2026
Janus Capital Group v. First Derivative Traders
securities-regulation
securities-exchange-act-1934
rule-10b-5
primary-liability
maker
Apr 11, 2026
Kardon v. National Gypsum Co
securities-regulation
securities-exchange-act-1934
implied-private-right
rule-10b-5
Apr 11, 2026
Mills v. Electric Auto-Lite Co
securities-regulation
securities-exchange-act-1934
proxy
causation
materiality
Apr 11, 2026
Pinter v. Dahl
securities-regulation
securities-act-1933
section-12
seller
solicitation
Apr 11, 2026
Reves v. Ernst & Young
securities-regulation
rico
securities-act-1933
notes-as-securities
operations-or-management
Apr 11, 2026
Salman v. United States
securities-regulation
securities-exchange-act-1934
insider-trading
tipping
personal-benefit
Apr 11, 2026
Superintendent of Insurance v. Bankers Life & Casualty Co
securities-regulation
securities-exchange-act-1934
rule-10b-5
in-connection-with
Apr 11, 2026
TSC Industries v. Northway, Inc
securities-regulation
securities-exchange-act-1934
materiality
proxy
Apr 11, 2026
United States v. O'Hagan
securities-regulation
securities-exchange-act-1934
insider-trading
misappropriation-theory
Apr 10, 2026
Exchange Act § 10 — Anti-Fraud (15 U.S.C. § 78j)
securities-regulation
securities-exchange-act-1934
Apr 10, 2026
Securities Act § 11 — Civil Liability (15 U.S.C. § 77k)
securities-regulation
securities-act-1933
Apr 10, 2026
Securities Act § 12 — Civil Liability for Selling (15 U.S.C. § 77l)
securities-regulation
securities-act-1933
Apr 10, 2026
Securities Act § 15 — Controlling Person Liability (15 U.S.C. § 77o)
securities-regulation
securities-act-1933
Apr 10, 2026
Securities Act § 3 — Exempt Securities (15 U.S.C. § 77c)
securities-regulation
securities-act-1933
Apr 10, 2026
Securities Act § 4 — Exempt Transactions (15 U.S.C. § 77d)
securities-regulation
securities-act-1933
Apr 10, 2026
Securities Act § 5 — Registration Requirement (15 U.S.C. § 77e)
securities-regulation
securities-act-1933
Apr 08, 2026
Doran v. Petroleum Management Corp.
securities-regulation
private-placement
exemptions
Apr 08, 2026
Edwards v. SEC
securities-regulation
investment-contract
howey-test
Apr 08, 2026
Forman v. Community Services, Inc.
securities-regulation
investment-contract
howey-test
Apr 08, 2026
Landreth Timber Co. v. Landreth
securities-regulation
definition-of-security
stock
Apr 08, 2026
Reeves v. Ernst & Young
securities-regulation
definition-of-security
notes
Apr 08, 2026
Securities Regulation
securities-regulation
securities-act-1933
securities-exchange-act-1934
rule-10b-5
insider-trading
registration
exemptions
private-placements
Apr 08, 2026
Free Writing Prospectus (FWP)
securities-regulation
registration
prospectus
Apr 08, 2026
Private Placement Exemption (§4(2))
securities-regulation
exemptions
private-placement
Apr 08, 2026
Regulation D (Rules 504, 505, 506)
securities-regulation
exemptions
regulation-d
private-placement
Apr 08, 2026
Shelf Registration
securities-regulation
registration
shelf-registration
Apr 08, 2026
WKSI
securities-regulation
registration
wksi
Apr 07, 2026
Escott v. BarChris Construction Corp
securities-regulation
securities-act
section-11
due-diligence
registration
Apr 07, 2026
SEC v. Ralston Purina Co
securities-regulation
securities-act
private-placement
section-4a2
Apr 07, 2026
Tellabs, Inc. v. Makor Issues & Rights, Ltd
securities-regulation
exchange-act
rule-10b-5
scienter
pslra
Apr 06, 2026
Securities Act Section 5 Registration
securities-regulation
securities-act
registration
section-5
Apr 06, 2026
Securities Act of 1933 (15 U.S.C. §§ 77a–77aa)
securities-regulation
securities-act
registration
disclosure
section-11
section-12
Apr 06, 2026
Securities Exchange Act of 1934 (15 U.S.C. §§ 78a–78pp)
securities-regulation
exchange-act
rule-10b-5
insider-trading
periodic-disclosure
section-16