Professional responsibilities and attorney liabilities
Article Abstract:
Attorneys can be liable for Rule 10b-5 violations for making false statements or failing to disclose material facts to non-client investors. The ABA Ethics committee has issued guidelines for attorneys handling sales of unregistered securities and tax shelters. The SEC is reconsidering its procedures for handling Rule 2(e) and similar administrative proceedings against lawyers.
Publication Name: Annual Institute on Securities Regulation
Subject: Law
ISSN: 0195-5756
Year: 1995
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Shelf registration: past, present and future
Article Abstract:
The SEC's regulations regarding securities shelf registration are presented. Also included is a shelf registration history analysis and proposals to broaden or amend regulations.
Publication Name: Annual Institute on Securities Regulation
Subject: Law
ISSN: 0195-5756
Year: 1996
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Staff legal bulletin no. 7 (September 4, 1998): plain English disclosure
Article Abstract:
The SEC Division of Corporation Finance staff legal bulletin no. 7, issued Sep 4, 1998, regarding the use of plain English in securities disclosure documents is presented.
Publication Name: Annual Institute on Securities Regulation
Subject: Law
ISSN: 0195-5756
Year: 1998
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- Abstracts: Profession's ideals were put to test; year's events. The association's outgoing president assesses the problems
- Abstracts: Questions linger on punitives and evidence. Class action, part II. Civil rule revisions a mixed bag
- Abstracts: Self-referral regs prompt second look; physicians' practices and pay likely to be restructured. Antitrust defenses in physician peer review cases
- Abstracts: The absence of evidence is not the evidence of absence. Professional responsibility considerations. Professional ethics and the Internet
- Abstracts: Directors under the spotlight: corporate governance update. Stock mergers in a volatile market. Three's a crowd - observations on the mating dance among announced merger partners and an unsolicited second bidder