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Browse Securities fraud topic

Laws, regulations and rules subtopic

 

Articles

1-62 out of 62 article(s)
Title Author Type Date Words
Avoiding pitfalls of False Claims Act liability. Heffes, Ellen M. Nov 1, 2009 359
Deducting Ponzi scheme losses: practical issues. Takacs, Natalie Bell Aug 1, 2009 4100
Deducting losses for defrauded investors. Zimmerman, John C. Jul 1, 2009 9898
The New SEC Whistleblower Proposal: Make It Fair, Make It Pay, And They Will Come. Hurson, Daniel Jun 23, 2009 1526
Ponzi schemes: the implications for defrauded investors. Odom, Dianne Apr 1, 2009 1946
Enforcement is 'back' at SEC. Heffes, Ellen M. Apr 1, 2009 447
Emerging Issues in Securities Litigation: The Seventh Circuit's recent interpretations of CAFA and SLUSA favor defendants in purported securities class actions*. Mar 30, 2009 1930
SEC starts fraud prosecution overhaul. Feb 18, 2009 222
Appellate Court Expands Scope Of Liability In SEC Enforcement Actions. Roffman, Ian Law overview Dec 21, 2008 1589
FRB And Treasury Department Issue Final Rule Implementing Unlawful Internet Gambling Enforcement Act. Dec 10, 2008 3159
The Securities Act of 2008. Nov 18, 2008 1334
Eleventh Circuit: SLUSA Precludes Investor's State Law Claims, Riley v. Merrill Lynch "No Longer Good Law". Case overview Nov 10, 2008 1293
The SEC Is Making Institutional Investors Swear. Johnson, Dixie Oct 2, 2008 1402
Corporate And Financial Weekly Digest - September 12, 2008. Sep 16, 2008 2655
Auditor Liability In Securities Litigation From A Defense Perspective. May 13, 2008 5345
Protection Of Minority Security Holders In Special Transactions: Multilateral Instrument 61-101. Apr 22, 2008 575
Money hold: the SEC said it stopped a $29.5-million severance package from being paid to Gemstar-TV Guide International Inc.'s former chief executive, Henry Yuen, who was charged with securities fraud. Apr 14, 2008 74
Striking a balance: while the Tellabs decision finds middle ground between investors and corporate executives, it is expected to have little impact on D&O coverage. Galban, Anthony Oct 1, 2007 1285
SEC Adopts Rule On Fraud By Advisers To Pooled Investment Vehicles; Defers On Standards For Accredited Investors In Certain Private Investment Vehicles. Aug 29, 2007 1254
U.S. Supreme Court Clarifies Standard For Securities Fraud Claims. Jul 20, 2007 618
Supreme Court Signals Favorable Trend For Defense Of Federal Class Action Litigation. Jul 12, 2007 872
Supreme Court Further Limits Securities Fraud Actions. Bruch, Gregory Jun 28, 2007 1184
Complaint Dismissed - Delaware Court Issues Significant Backdating Decision. Jun 13, 2007 1127
Stock Option Backdating: What Every Director Should Now Know. Jun 12, 2007 1707
The Fifth Circuit Rules On Third-Party Liability For Securities Fraud; Underscores Circuit Split; Supreme Court To Review. Gowen, George; Lare, James Apr 17, 2007 1075
Options backdating, tax shelters, and corporate culture. Fleischer, Victor Mar 22, 2007 13800
First Delaware Decisions On Option Grant Dating: Ryan v. Gifford And In re Tyson Foods, Inc. Consol. Shareholder Litigation. Feb 16, 2007 1175
U.S. Supreme Court To Review Standard For Pleading Scienter In Securities Fraud Actions. Feb 2, 2007 814
SEC Proposed Rulemaking On Prohibition Of Fraud By Advisor S An D Revised Standards For Accredited Investors. Jan 17, 2007 1552
Worldwide: looters have a foothold: accounting fraud is the corporate criminals' weapon of choice. Black, William K. Jan 1, 2007 1827
CSA Rejects SOX 404 For Canada. Jul 14, 2006 948
U.S. Supreme Court Unanimously Bars State Law Class Action Securities "Holding" Claims. Apr 3, 2006 821
Tax consequences to investors of broker fraud and theft: there are a number of ways tax advisers can help clients who are victims of investment fraud or theft. This article discusses the tax issues faced when trying to recoup some of the loss. Montgomery, Gwendolyn A. Jan 1, 2006 3802
Letting billions slip through your fingers: empirical evidence and legal implications of the failure of financial institutions to participate in securities class action settlements. Cox, James D.; Thomas, Randall S. Nov 1, 2005 23004
Supreme Court Rejects 'Price Inflation' Theory of Pleading and Proving Loss Causation in Securities Fraud Cases Under Rule 10b-5. May 4, 2005 1234
U.S. Supreme Court Decision on Securities Fraud Litigation May Deter Strike Suits. Apr 27, 2005 1046
Small business, big losses: audits and hotlines stack up as the best crime busters in a new ACFE study. Wells, Joseph T. Dec 1, 2004 3019
Tax benefits of IRC Sec. 165. Siegel, Bart H. Sep 1, 2004 1936
Corporate misdeeds and their impact upon enforceability of executive employment agreement indemnification provisions. Lechner, Jay P. May 1, 2003 3187
Balance sheet becomes breeding ground for fraud. Lundelius, Charles R., Jr. May 1, 2003 476
Partners in crime: Enron and WorldCom couldn't have happened without the help of accountants, bankers, and lawyers. After a decade of lax regulation and laissez-faire court decisions, these secondary actors are facing harsher scrutiny. Sidener, Steven O. Apr 1, 2003 2520
Holding the accountant accountable: accountants' underhanded dealings can have far-reaching effects. Although third parties don't have privity relationships with accountants, they can file claims alleging fraud, misrepresentation, and securities law violations. Smith, Colleen Duffy Apr 1, 2003 3085
Protect investors from brokers' stock scams: when analysts issue bogus stock recommendations, attorneys can hold them liable for clients' lost savings. Nohr, Jason L. Apr 1, 2003 2552
A new accounting culture. Melancon, Barry C. Oct 1, 2002 3264
Sarbanes-Oxley Act Creates Whistleblower Protection for Employees. Brief Article Sep 23, 2002 510
Enron fallout spurs securities fraud bill: the Corporate and Criminal Fraud Accountability Act would create penalties for illegal document shredding and increase protections for whistleblowers. (Capital edge: legislative & regulatory update). Tillman, Bob Jul 1, 2002 1563
Standing Up to the Head of the Class. Feb 21, 2002 3333
Pleading Scienter Under the Federal Securities Laws: What Creates a Strong Inference of Fraudulent Intent? Jacobs, Margaret A.; Siciliano, Karen E.; Glickman, Alan R. Feb 14, 2002 1898
Time is money When you're running a scam. SCHWAB, ROBERT Brief Article Oct 1, 2001 300
Detection of fraudulent financial reporting. Schneider, Arnold Sep 1, 2001 364
SEC adopts new audit requirements. Jun 1, 1997 501
California votes down proposition 211. Brief Article Jan 1, 1997 300
Insider trading and the dual role of information. ten Oever, Jonathan E.A. Jan 1, 1997 3069
California poised to vote on securities law initiative. Oct 1, 1996 546
Securities Litigation Reform Act passes the House. May 1, 1995 608
SEC is ready to support litigation reform. Brief Article Apr 1, 1995 245
Knowledge and notice in section 10(b) limitations law. Ford, Christopher A. May 1, 1994 17635
AICPA chairman testifies before Senate subcommittee. Brief Article Sep 1, 1993 238
Litigation reform bill introduced in House of Representatives. Brief Article Mar 1, 1993 125
Litigation reform bills introduced; drive for passage builds. Nov 1, 1992 577
What every accountant should know about securities law. Quinlivan, Stephen M. Jul 1, 1992 1439
Securities law statute of limitations ruling overturned. May 1, 1992 256

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