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Feb 27 2013

Gabelli Vs. Sec

Court: US Supreme Court

Decided on: Feb-27-2013

Gabelli v. Sec. & Exch. Comm'n NOTE: Where it is feasible, a syllabus (headnote) will be released, as is being done

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Jun 03 2002

Sec Vs. Zandford

Court: US Supreme Court

Decided on: Jun-03-2002

22, 1994); Zandford v. NASD, Civ. Action No. 93-1274,1993 WL 580761 (D. D. C., Nov. 5,1993)). 819 II Section 10(b) of the Securities Exchange Act makes it "unlawful for any person ... [t]o use or employ, in

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Jan 13 2004

Sec Vs. Edwards

Court: US Supreme Court

Decided on: Jan-13-2004

rate of return can be an “investment contract” and thus a “security” subject to the federal securities laws. Section 2(a)(1) of the 1933 Act and §3(a)(10) of the 1934 Act define “security” to include an “investment contract,”

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Jun 02 1980

Aaron Vs. Sec

Court: US Supreme Court

Decided on: Jun-02-1980

public interest or for the protection of investors." Pursuant to its rulemaking Page 446 U. S. 688 power under this section, the Commission promulgated Rule 10b-5, which now provides: "It shall be unlawful for any person, directly or indirectly,

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Feb 25 1981

Steadman Vs. Sec

Court: US Supreme Court

Decided on: Feb-25-1981

the antifraud provisions of the federal securities laws had been violated. Pp. 450 U. S. 97 -104. (a) Section 7(c)'s language implies the enactment of a standard of proof. By allowing sanctions to be imposed only when

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Jul 01 1983

Dirks Vs. Sec

Court: US Supreme Court

Decided on: Jul-01-1983

of guilty or a conviction after trial. See Brief for Petitioner 15; App. 149-153. [ Footnote 5 ] Section 17(a), as set forth in 15 U.S.C. § 77q(a), provides: "It shall be unlawful for any person in

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Jun 18 1984

SEC Vs. Jerry T. O'Brien, Inc.

Court: US Supreme Court

Decided on: Jun-18-1984

SEC v. Jerry T. O'Brien, Inc. - 467 U.S. 735 (1984) U.S. Supreme Court SEC v. Jerry T. O'Brien,

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Jun 10 1985

Lowe Vs. Sec

Court: US Supreme Court

Decided on: Jun-10-1985

order revoking the registration of Lowe Management Corporation and barring Lowe from future association with an investment adviser. Section 203(e) of the Act, 15 U.S.C. § 80b-3(e), authorizes the Commission to revoke the registration of any investment

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May 16 1966

Sec Vs. New England Elec. Sys.

Court: US Supreme Court

Decided on: May-16-1966

noted that § 8 only applied to future acquisitions: "The committee felt that, while the policy upon which this section was based was essential in the formulation of any Federal legislation on utility holding companies, it did not

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May 22 1967