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- Title
INTENT TO RECONCILE: SEC V. OBUS, THE SECOND CIRCUIT'S EDIFICATION OF THE TIPPEE SCIENTER STANDARD.
- Authors
VISSICHELLI, ALLISON M.
- Abstract
The article discusses liability for insider trading under Section 10(b) of the U.S. Securities Exchange Act of 1934 and Rule 10b-5 of America's Securities and Exchange Commission (SEC) as of February 2013, focusing on the U.S. Court of Appeals for the Second Circuit's ruling in the case SEC v. Obus which deals with tippee liability and a scienter requirement. The U.S. Supreme Court's (USSC's) interpretations of Rule 10b-5 and Section 10(b) are addressed, along with a misappropriation theory that was reportedly sanctioned by the USSC in the case United States v. O'Hagan.
- Subjects
UNITED States; CRIMINAL intent; INSIDER trading laws; LEGAL liability; UNITED States. Securities &; Exchange Commission; SECURITIES; UNITED States. Court of Appeals (2nd Circuit); UNITED States v. O'Hagan (Supreme Court case); ACTIONS &; defenses (Law)
- Publication
American University Law Review, 2013, Vol 62, Issue 3, p763
- ISSN
0003-1453
- Publication type
Article