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Rule 10b-5 Exclusive Jurisdiction

Allen Matkins

Why Be Wary Of Section 11 Liability?

Allen Matkins on

Last Friday's post discussed the possibility of avoiding potential liability under Section 11 of the Securities Act by relying on the Section 3(a)(10) exemption from registration. Eliminating Section 11 liability does not...more

Allen Matkins

When California Copied Rule 10b-5 Did It Shut The State Courthouse Door To Securities Fraud Suits?

Allen Matkins on

Section 27 of the Securities Exchange Act of 1934 provides: “The district courts of the United States . . . shall have exclusive jurisdiction of violations of [the Exchange Act] or the rules and regulations thereunder,...more

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