dirks v securities and exchange commission

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136 documents for dirks v securities and exchange commission

- Raymond L. Dirks, Petitioner, v. Securities and Exchange Commission, Respondent., 681 F.2d 824 (D.C. Cir. 1982)
Petition for Review of an Order of the Securities and Exchange commission. David Bonderman, Washington, D. C., with whom Lawrence A. Schneider and D...
- Federal Circuits
- Avoiding Insider Trading Risks in Fundamental Investment Research.
Recent high-profile Securities and Exchange Commission cases against hedge fund m... relating to securities analyst Raymond Dirks, the SEC recognized that, with respect to research...
- Mondaq Business Briefing
- Nbr. 2010, January 2010
- Raymond Dirks, Petitioner, v. Securities and Exchange Commission, Respondent., 802 F.2d 1468 (D.C. Cir. 1986)
Marc Bogatin, with whom Stanley S. Arkin, New York City, was on the brief, for petitioner. Linda Fienberg, Associate Gen. Counsel, S.E.C., with whom ...
- Federal Circuits

- Half-truths: protecting mistaken inferences by investors and others.
... generally-plays under the federal securities laws. Again, there is no doubt that the doctrine a... verbatim by the Securities and Exchange Commission (SEC) into what has become the most lit... Analysts: An Economic Analysis of Dirks v. Securities and Exchange Commission, 13 HOFSTRA ...
- Stanford Law Review
- Vol. 52 Nbr. 1, November 1999
- Dirks v. SEC, 463 U.S. 646 (1983)
...646 (1983) 463 U.S. 646. DIRKS v. SECURITIES AND EXCHANGE COMMISSION CERTIORARI TO THE UNITED ...
- U.S. Supreme Court
- Securities: Selective disclosure and insider trading,
...\14\ Raymond L. Dirks, 47 S.E.C. 434, 441(1981). This concern about prot...
- FR, December 28, 1999
- Proposed rules
- Securities and Exchange Commission
- Fed. Sec. L. Rep. P 98,646 Securities and Exchange Commission, Plaintiff-Appellee, v. Michael A. Maio and Patricia C. Ladavac, Defendants-Appellants., 51 F.3d 623 (7th Cir. 1995)
...See Dirks v. SEC, 463 U.S. 646, 663, 103 S.Ct. 3255, 3266, 7...
- Federal Circuits
- United States of America, Appellee, v. David Carpenter, Kenneth P. Felis, and R. Foster Winans, Defendants-Appellants., 791 F.2d 1024 (2nd Cir. 1986)
... Gonson, of counsel), on the brief for Securities and Exchange Com'n, Washington, D.C., as amicus cu... of aiding and abetting in the commission of securities fraud and mail and wire fraud. Unite... insiders or so-called quasi-insiders, Dirks v. SEC, 463 U.S. 646, 655 n. 14, 103 S.Ct. 3255, 3...
- Federal Circuits
- Janus Capital Group, Inc. v. First Derivative Traders, 564 U.S. (2011)
... held liable in a private action under Securities and Exchange Commission (SEC) Rule 10b-5 forf...A., 511 U. S. 164,188-191 (1994); Dirks v. SEC, 463 U. S. 646, 666, n. 27 (1983); Ernst &E...
- U.S. Supreme Court
- Securities fraud.
... of 1933 ("1933 Act") and the Securities Exchange Act of 1934 ("1934 Act"). The 1933 Act and 1934 Ac... of "section 10(b) of the Act and the Commission's Rule 10b-5 thereunder .. admittedly qualify" und...5. Regulation of Selective Disclosure . Dirks v. SEC (240) had the effect of allowing corporatio...
- American Criminal Law Review
- Vol. 47 Nbr. 2, March 2010