Free Securities Exchange Act of 1934 Essays and Papers

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Free Securities Exchange Act of 1934 Essays and Papers

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    AES Corporation: An Expansion Plan

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    vember-14-2011-13889720/ Gillen, M. (2007). Using economic analysis to provide legal advice: an example involving business income trusts. Humanities and Social Science Research Centre Workshop 1, 1-26 Securities Act of 1933, Ch. 38, Title I, Sec. 1, 48 Stat. 74 Securities Exchange Act of 1934, 48 Stat. 881, 15 U.S.C. § 78A

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    Scientific-Atlanta / Motorola Discovering the facts and allegations of the controversial and “most important securities law case in a generation.” This case is said to be one of the most (if not the most) important securities law cases that the Supreme Court has considered in more than a decade (deVogue 1). It involves a wide range of issues from basic separation of power issues to core securities litigation policy. With this is mind, the Court decided to take a rather narrow look at the case, asking

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    important in deciding how to vote’, or in this situation purchasing of securities. What the standard determined in the TSC Industries case contemplates is that the

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    insider trading

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    10(b) of the Act and Rule 10b-5 thereunder. The law of insider trading is otherwise defined by judicial opinions construing Rule 10b-5, and Rule 10b5-1 does not modify the scope of insider trading law in any other respect. a.     General. The "manipulative and deceptive devices" prohibited by Section 10(b) of the Act and Rule 10b-5 thereunder include, among other things, the purchase or sale of a security of any issuer, on the basis of material nonpublic information about that security or issuer,

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    The Securities and Exchange Commission In 1934 the Securities Exchange Act created the SEC (Securities and Exchange Commission) in response to the stock market crash of 1929 and the Great Depression of the 1930s. It was created to protect U.S. investors against malpractice in securities and financial markets. The purpose of the SEC was and still is to carry out the mandates of the Securities Act of 1933: To protect investors and maintain the integrity of the securities market by amending the current

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    Ban On Short Sell

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    The U.S. Securities and Exchange Commission (SEC) placed a temporary ban on the short selling of financial companies’ securities. The action was taken as a defensive maneuver to help stabilize trading in the 799 financial companies named in the ban. The SEC reasoned that short sellers where manipulating the stock prices of the named companies and that banning the practice of short selling would restore regularity to the markets (Goldman, 2008). The practice of short selling securities, under normal

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    Penalties Imposed Upon Guilty In 1998 Jordan Belfort was indicted with 27 counts of International Securities Fraud and Money laundering. After cooperating with the FBI, in 2003 Belfort was sentenced to four years in prison and fined and ordered to back approximately $110 million that he had defrauded from investors. He served 22 months in federal prison and was ordered to pay investors 50% of his income until $110.4 million was collected (Kolhatkar, 2013). According to federal prosecutors, Belfort

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    Jordan Belfort: The Wolf of Wall Street

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    Jordan Belfort: The Wolf of Wall Street History of the case Definition of Crime Laws Violated Penalties Imposed Upon Guilty In 1998 Jordan Belfort was indicted with 27 counts of International Securities Fraud and Money laundering. After cooperating with the FBI, in 2003 Belfort was sentenced to four years in prison and fined and ordered to back approximately $110 million that he had defrauded from investors. He served 22 months in federal prison and was ordered to pay investors 50% of his

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    Geiger vs. Willis

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    In the case of Geiger Co. vs. James Willis and Co., CPAs, PC, the company is attempting to recover $16 million in damages as the result of a scheme to defraud the company. The $16 million in losses is allocated as follows: $8 million to the company itself, $5 million the bank that gave the company a commercial loan, and $3 million to shareholders. Willis did perform the audit with ordinary negligence, which is the reason that the defalcation was not discovered and recovered. The issues of this case

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    Companies in the Stock Market

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    being publicly listed in a stock market is not being done in an easy and simple way. For a company to trade its stock in stock market, following the requirements of Securities Exchange Act 1934 as well as other regulations monitored by Securities Exchange Commission (SEC) is compulsory. Primary requirements of Securities Exchange Act 1934 include disclosure of periodic financial report which consists of the revenue, cash flow and assets of a company. Financial disclosure is to protect the investors

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