Browse Related Topics For:

Rule 10b-5

52
SEC
43
Securities Fraud
30
Insider Trading
29
Securities Exchange Act
23
Class Action
21
Securities
14
Fraud
14
SCOTUS
13
Securities Litigation
12
Illegal Tipping
12
Material Misstatements
12
Material Nonpublic Information
11
Disclosure Requirements
11
Hedge Funds
10
Enforcement Actions
10
Portfolio Managers
9
Compliance
9
Fraud-on-the-Market
9
Scienter
9
US v Newman
8
Dismissals
8
Janus Capital Group
8
Personal Benefit
8
Section 10(b)
7
Class Certification
7
False Statements
6
Investment Adviser
6
Misrepresentation
6
PSLRA
6
Rule 10(b)
5
Amgen Inc. v Connecticut Retirement Plans
5
Appeals
5
Halliburton v Erica P. John Fund
5
Nvidia
5
Pleading Standards
5
Popular
5
Shareholders
5
White Collar Crimes
4
Dell
4
Halliburton
4
Regulation S-K
4
Safe Harbors
3
10b5-1 Plans
3
Best Buy
3
CFTC
3
Criminal Prosecution
3
Disclosure
3
Enforcement
3
Extraterritoriality Rules
3
Financial Markets
3
First Derivative Traders
3
Investigations
3
Investors
3
Loss Causation
3
Market Manipulation
3
Mutual Funds
3
Pleadings
3
Public Disclosure
3
Publicly-Traded Companies
3
Reporting Requirements
3
Securities Act of 1933
3
Shareholder Litigation
3
Standing
3
Stocks
2
Board of Directors
2
Capital Raising
2
CFPB
2
Confidential Information
2
Corporate Counsel
2
Corporate Officers
2
Corporations Code
2
Cross-Border Transactions
2
Cybersecurity
2
Demand Futility
2
Dodd-Frank
2
DOJ
2
Federal Jurisdiction
2
Fiduciary Duty
2
Financial Institutions
2
Financial Statements
2
FINRA
2
Government Investigations
2
High Frequency Trading
2
Investment
2
Jurisdiction
2
Justifiable Reliance
2
Misleading Statements
2
Morrison v National Australia Bank
2
New Legislation
2
Price Manipulation
2
Private Securities Litigation Reform Act of 1995
2
Privately Held Corporations
2
Proxy Statements
2
Proxy Voting Guidelines
2
Rebuttable Presumptions
2
Recordkeeping Requirements
2
Rule 23(b)(3)
2
Secondary Markets
2
Section 11
2
Securities Act
2
Silicon Valley
2
Stock Prices
2
Swaps
2
Tender Offers
2
Trading Plans
2
Wells Notice
2
Whistleblowers
1
Accounting Standards
1
Actual or Constructive Knowledge
1
Administrative Hearings
1
Amgen
1
Anti-Money Laundering
1
Appraisal Rights
1
Auditors
1
Australia
1
Australian Securities Exchange (ASX)
1
Balance Sheets
1
Banging the Close
1
Bank of America
1
Bank Secrecy Act
1
Banking Crisis
1
Banking Sector
1
Banks
1
Barclays
1
Basic v Levinson
1
Bear Sterns
1
Biotechnology
1
Breach of Contract
1
Breach of Duty
1
Broker-Dealer
1
Brokers
1
BSA/AML
1
Burden of Proof
1
Burden-Shifting
1
Business Torts
1
Business Valuations
1
C-Suite Executives
1
Capital Markets
1
Causation
1
Census
1
Chief Compliance Officers
1
CID
1
CII
1
Civil Monetary Penalty
1
CMOs
1
Code of Conduct
1
Collateralized Loan Obligations
1
Collective Bargaining
1
Comcast
1
Comity
1
Commercial Bankruptcy
1
Commercial Real Estate Market
1
Commodities
1
Commodities Exchange Act
1
Common Stock
1
Complex Litigation
1
Condominiums
1
Controlling Stockholders
1
Corporate Governance
1
Credit Ratings
1
Crowdfunding
1
Currency Transaction Reports (CTR)
1
D&O Insurance
1
Damages
1
Dark Pool
1
Data Security
1
Department of Business Oversight
1
Department of Corporations
1
Derivative Suit
1
DHS
1
Disclaimers
1
DOE
1
DOL
1
Duty to Disclose
1
Employee Stock Purchase Plans
1
Employer Liability Issues
1
ERISA
1
Exclusive Jurisdiction
1
Executive Compensation
1
Facebook
1
Failure To State A Claim
1
False Advertising
1
False Claims Act (FCA)
1
FDA
1
Federal Pleading Requirements
1
Filing Requirements
1
Financial Reporting
1
FinCEN
1
Fines
1
Foreign Investment
1
Foreign Issuers
1
Form 10-K
1
Form 8-K
1
Form ADV
1
Form N-Cen
1
Form N-PORT
1
Form N-SAR
1
Forum Non Conveniens
1
Fresh & Easy
1
FTC
1
Funding Portal
1
Futures
1
Gabelli v SEC
1
Gelboim v Bank of America
1
Goldman Sachs
1
Hotels
1
Initial Public Offerings
1
Intent
1
Internal Controls
1
International Litigation
1
Inventory
1
Investment Advisers Act of 1940
1
Investment Companies
1
Investment Management
1
Investment Partnerships
1
Investment Portfolios
1
Investor Protection
1
IPO
1
ISS
1
Japan
1
Jerry Brown
1
Jury Instructions
1
Keurig Inc
1
Know Your Customers
1
Kraft
1
Legislative Committees
1
Lehman Brothers
1
Lenders
1
Life Sciences
1
Lululemon
1
Mark Cuban
1
Mary Jo White
1
Materiality
1
McGraw Hill
1
Media
1
Medical Devices
1
Merrill Lynch
1
Misappropriation
1
Mismanagement
1
Money Laundering
1
Morgan Stanley
1
Mortgage-Backed Securities
1
Motion to Compel
1
Motion to Dismiss
1
MSRB
1
Municipal Advisers
1
Municipalities
1
Nasdaq
1
Negligent Supervision
1
NERA
1
NFA
1
NLRA
1
NLRB
1
No-Action Letters
1
No-Action Relief
1
NYSE
1
OCC
1
OCIE
1
Offering Documents
1
Offerings
1
Offshore Banks
1
Oil & Gas
1
Omissions
1
Omnicare
1
OTC
1
Pending Legislation
1
Penny Stocks
1
Pension Funds
1
Personal Liability
1
Personally Identifiable Information
1
Pharmaceutical Industry
1
PLSRA
1
Ponzi Scheme
1
Predominance Requirement
1
Privacy Laws
1
Private Equity Funds
1
Private Funds
1
Private Placements
1
Prospectus
1
Public Employees
1
Public Offerings
1
Public Officials
1
Public Relations
1
Pump and Dump
1
Putative Class Actions
1
Rating Agencies
1
Reasonable Reliance Claims
1
Registration
1
Registration Requirement
1
Regulation D
1
Regulation FD
1
Regulation M
1
Regulation S-X
1
Regulatory Standards
1
Respondeat Superior
1
Retirement
1
Retirement Plan
1
Reversal
1
Right of FIrst Refusal
1
RMBS
1
Rule 23
1
Rule 506 Offerings
1
S&P
1
Sales
1
Sanctions
1
Sanofi
1
SAR
1
Say-on-Pay
1
Schedule 13D
1
Section 10 of the Exchange Act
1
Section 12
1
Section 16
1
Section 17(a)
1
Section 25401
1
Securities Exchanges
1
Securities Violations
1
Securitization
1
Security-Based Swaps
1
Settlement
1
Settlement Offer
1
Shell Corporations
1
SLUSA
1
Startups
1
State Securities Claims
1
Statement of Opinion
1
Statute of Limitations
1
Steve Cohen
1
STOCK Act
1
Stock Drop Litigation
1
Stock Float
1
Stock Repurchases
1
Stock Trades
1
Subpoenas
1
Subprime Mortgages
1
Supervision
1
Surveys
1
Suspicious Activity Reports
1
Technology
1
Terrorism Funding
1
Toshiba
1
Trade Secrets
1
Trading Platforms
1
Twombly/Iqbal Pleading Standard
1
U.S. Treasury
1
Unions
1
WebMD
1
Whistleblower Awards
1
Whistleblower Protection Policies
1
Young Lawyers