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Course Current Events
"Advanced Securities Regulation" |
Please note: Below
are articles that I believe may be of interest. I make no
claims, promises or guarantees about the accuracy, completeness or adequacy
of the information contained in these articles. Further,
their inclusion in my site does not, in any
way, shape or form, imply my sponsorship, endorsement, or approval of their content.
For more information, please read my general
disclaimer.
(Sometimes Required) |
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January 16th
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No Assignment |
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January 23rd
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"Outsider" Trading |
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(N.B. This is an unusually long
assignment for current events -- you need not read it all -- you can
just review the two litigation releases and Then skim the Decision
(which I realize is still a lot to read) |
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LR-19450
Complaint
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Securities and Exchange
Commission v. Lohmus Haavel & Viisemann, et al.(S.D.N.Y. 2005) |
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January 30th
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February 6th
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February 13th
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February 20th
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No Class (Faculty Retreat) |
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February 27th
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No Assignment |
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March 5th
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March 12th
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Spitzer Resignation
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March 19th
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March 26th
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April 2nd
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No Current Events Assignment (Thanks for Your Support
Last Week -- All is Fine -- Click
Here)
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April 9th
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U.S. v. Stringer (9th Circuit, April 4, 2008)
(Ninth Circuit vacated the Stringer
decision regarding parallel proceedings. In
Stringer, the district court
dismissed criminal indictments against Kenneth Stringer and two other
defendants based upon its conclusion that the government had violated
the defendants’ due process rights and engaged in deceitful conduct by
simultaneously pursuing civil and criminal investigations of defendants’
alleged financial fraud. The district court alternatively ruled that
any evidence obtained through Commission subpoena must be suppressed in
a criminal trial. In vacating the district court opinion, the Ninth
Circuit held: “There was no deceit; rather, at most, there was a
government decision not to conduct the criminal investigation openly, a
decision we hold the government was free to make.” The appellate court
found the Commission provided each defendant with a Form 1662, which
clearly stated that any information produced in the Commission
investigation could be used in a criminal proceeding.)
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April 16th
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LR-20520
Complaint
Press Release |
SEC v. One or More Unknown
Traders in the Common Stock of Certain Issuers a/k/a AWE Trading, Inc. and
Andrew Andersen, (SEC alleges that one or
more unknown traders conducted their entire online account intrusion scheme
over the Internet and concealed their identities by, among other things,
fraudulently opening brokerage accounts in the names of individuals who
responded to a job advertisement on the Web site Craig’s List.) |
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SEC Project
PAUSE
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April 23rd
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Last Class
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