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インサイダー取引:規則・エンフォースメント・防止

Insider Trading: Regulation, Enforcement, and Prevention

Donald C. Langevoort, Georgetown University Law

2 vols. Looseleaf. 1992 to date.(追録年1回) (Securities Law Series)

West (CBC). ISBN: 0876327587

¥208,066

在庫あり

インサイダー取引に該当する諸要素を明らかにし、米国の規制の詳細を分析。SEC資料や企業・事務所の防止指針例などの資料も豊富に収録。

【主な内容】

○法源と進展 ○開示原則 ○情報提供者(Tipper)と情報受領者(Tippee)の責任 ○重要な未公開情報 ○背任理論 ○公開買付情報の所有者による取引 ○当局執行態様 ○私訴 ○グレーゾーン;アナリスト、報道者、仲買人、友人・関係者等 ○国際市場の規制、等

【Table of Contents】

1. The Nature and Source of the Prohibition against Insider Trading

2. Development of the Law of Insider Trading

3. The Abstain or Disclose Obligation: Corporate Insiders

4. Tipper and Tipee Liability

5. Material Nonpublic Information

6. Misappropriation Theory

7. Trading While in Possession of Information Relating to a Tender Offer

8. Governmental Enforcement of the Insider Trading Prohibition

9. Private Rights of Action

10. Recovery by the Issuer: Section 16 (b) and State Corporation Law

11. The "Gray Areas" of Insider Liability: Investment Analysts, News Reporters, Stockbrokers, and Friends and Relatives of Corporate Insiders

12. Institutional Liability for Insider Trading

13. The History of Codification Efforts for Insider Trading Law

14. Regulation of Insider Trading in an Internationalized Securities Marketplace.

Appendix

A. Excerpts from Legislative History of the Insider Trading Sanctions Act 1984

B. Report of the Securities and Exchange Commission to the House Committee on Energy and Commerce on DIRKS v. Securities and Exchange Commission, August 12, 1985

C. Report of the Special Committee on Law Firm Policies Relating to Confidentiality and Safeguarding Inside Information

D. Letter to the Securities and Exchange Commission Proposing New Insider Trading Legislation, November 18, 1987.

E. Excerpts from the Legislative History of the Insider Trading and Securities Fraud Enforcement Act of 1988

F. Sample Corporate Policy for Officers, Directors and Employees Regarding Insider Trading

G. Typical Questions (And Suggested Answers) Regarding Insider Trading by Corporate Officers, Directors and Employees

H. Broker Dealer Policies and Procedures Designed to Segment the Flow and Prevent Misuse of the Material Non-Public Information

I. Ownership Reports and Trading by Officers, Directors and Principal Security Holders

J. Law Firm Policies Regarding Insider Trading and Confidentiality

K. Significant SEC Enforcement Activities Involving Insider Trading

L. Broker-Dealer Internal Control Procedures for High Yield Securities

M. Excerpts from Report of the SEC's Division of Investment Management on the Personal Trading Activities of Investment Company Personnel (Sept.1994)

N. Statement of Conference Managers: Private Securities Litigation Reform Act of 1995

O. Ownership Reports and Trading by Officers, Directors and Principal Security Holders

P. SEC Proposed Rules Dealing with Selective Disclosure and Insider Trading Definitional Issues (Dec.1999)

Q. Selective Disclosure and Insider Trading File No. S7-31-99

R. SEC Division of Corporation Finance: Compliance and Disclosure Interpretations

S. Special Study: Regulation Fair Disclosure Revisited

T. SEC Final Rules Dealing with Insider Trades during Pension Fund Blackout Periods (Jan.2003)

U. European Union Directive on Insider Dealing and Market Abuse

V. Speech by SEC Staff: Remarks Before the Australian Securities and Investment Commission 2008 Summer School: U.S. Experience of Insider Trading Enforcements