- Volume 18
Chapter - The Nature and Source of the Prohinition Against Insider Trading
- Development of the Law of Insider Trading
- The Abstain or Disclose Obligation: Corporate Insiders
- Tipper and Tipee Liability
- Material Non-Public Information
- Misappropriation Theory
- Trading While in Posession of Information Relating to a Tender Offer
- Governmental Enforcement of the Insider Trading Prohibition
- Private Rights of Action
- Recovery by the Issuer: Section 16 (b) and State Corporation Law
- The "Gray Areas" of Insider Liability: Investment Analysts, News Reporters, Stockbrokers, and Friends and Relatives of Corporate Insiders
- Institutional Liability for Insider Trading
- The History of Codification Efforts for insider Trading Law
- Regulation of Insider Trading in an Internationalized Securities Marketplace.
- Volume 18A
Appendix - Excerpts from Legislative History of the Insider Trading Sanctions Act 1984
- Report of the Securities and Exchange Commission to the House Committee on Energy and Commerce on Dirks v. Securities and Exchange Commission, August 12, 1985
- Report of the Special Committee on Law Firm Policies Relating to Confidentiality and Safeguarding Inside Information, Business Corporations Law Section, Los Angeles County Bar Association, March 21, 1985
- Letter to the Securities and Exchange Commission Proposing new Insider Trading Legislation, November 21, 1985.
- Excerpts from the Legislative History of the Insider Trading and Securities Fraud Enforcement Act of 1988
- Sample Corporate Policy for Officers, Directors and Employees Regarding Insider Trading
- Typical Questions (And Suggested Answers) Regarding Insider Trading by Corporate Officers, Directors and Employees
- Broker Dealer Polices and Procedures Designed to Segment the Flow and Prevent Misuse of the Material Non-Public Information
- Ownership Reports and Trading by Officers, Directors and Principal Security Holders
- Law Firm Policies Regarding Insider Trading and Confidentiality
- Significant SEC Enforcement Activities Involving Insider Trading
- Broker-Dealer Internal Control Procedures for High Yield Securities
- Excerpts from Report of the SEC"s Division of Investment Management on the Personal Trading Activities of Investment Company Personnel (Sept. 1994)
- Statement of Conference Managers: Private Securities Litigation Reform Act, 1995
- Ownership Reports and Trading by Officers, Directors and Principal Security Holders
- SEC Proposed Rules Dealing with Selective Disclosure and Insider Trading Definitional Issues (DEC. 1999)
- Selective Disclosure and Insider Trading File No. S7-31-99
- Division of Corporation and Finance: Manual of Publicly Available Telephone Interpretations
- Special Study: Regulation of Fair Disclosure Revisited
- SEC Final Rules Dealing with Insider Trades During Pension Fund Blackout Periods (Jan. 2003)
- European Union Directive on Insider Dealing and Market Abuse
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