General Business Securities Education

Read need-to-know updates, commentary, and analysis on General Business issues written by leading professionals.
News & Analysis as of

In a First, SEC Charges Indiana School District and Municipal Bond Underwriter with Fraud

The Securities and Exchange Commission (SEC) on July 29, 2013 charged a school district in Indiana and its municipal bond underwriter with falsely stating to bond investors that the school district had been properly providing...more

West Clark Community Schools Cease and Desist Order— SEC Enforcement of Rule 15c2-12

On July 29, 2013, the SEC entered a pair of Cease and Desist Orders against West Clark Community Schools (the “School District”) and Citi Securities, the underwriter of certain municipal bonds issued by the School District...more

Banking & Financial Services E-Note - March 28, 2013

In This Issue: - Global Banking Group Calls for Several Rates to Replace Libor - U.S. Applies Money-Laundering Rules to "Virtual Currencies" - SEC Says Big Banks Don't Have to Hold Shareholder Break-Up Votes -...more

Weglarz v. JP Morgan Chase Bank, N.A., and National Collegiate Trust

Complaint--Class Action

National Collegiate Student Loan Trust is being sued on a class action basis for its improper, fraudulent use of the LIBOR index on its promissory note private student loans. This is just another defense of contract when...more

Cleaning Up Past Offerings to Investors

Many offerings to investors require that forms be filed with one or more securities agencies within 15 days of the first sale. Still, even if the forms were not filed on time, it’s often possible to file them even though...more

The Academics Are Just Plain Wrong: The Trust Is Not a Contract

Since the 1960s, the trust has been under attack on two fronts in the American law school. First, the traditional Trusts course has been down-graded to elective status, a misguided curricular “reform” that Charles E. Rounds,...more

It's Only a Matter of Degree--Companies Find Trouble in Publicizing the Educational Backgrounds of Officers

Many companies disclose the educational achievements of their directors, officers and key employees. These disclosures can be found on company websites, in company press releases and in filings made with the Securities and...more

7 Results
|
View per page
Page: of 1

Follow General Business Updates on: