Securities Litigation, Enforcement, and Compliance: Cases and Materials (Fifth Edition)

Securities Litigation, Enforcement, and Compliance: Cases and Materials (Fifth Edition)

Description

The Fifth Edition continues the casebook’s traditional focus on Exchange Act Section 10(b)/Rule 10b-5 securities fraud litigation initiated by private plaintiffs, SEC enforcement officials, and DOJ criminal prosecutors, and it incorporates important developments since 2017 including the U.S. Supreme Court’s decisions in Lorenzo v. SEC (primary liability for securities fraud); Goldman Sachs Group Inc. v. Arkansas Teacher Retirement System (fraud-on-the market and class certification); and Liu v. SEC (court-ordered disgorgement as an equitable remedy in SEC enforcement actions). But in view of the recent emergence of securities compliance as its own distinct and important area of study, the casebook has also expanded its focus to encompass the prevention, detection, investigation, and remediation stages of compliance in the securities industry, with topics including the role of gatekeepers, monetary awards and statutory protections for whistleblowing, corporate internal investigations, deferred prosecution agreements, and requirements under the Foreign Corrupt Practices Act and federal anti-money laundering statutes.

ISBN

9781647083571 (hb.), 9798887860732 (ebook)

Publication Date

2023

Publisher

West Academic Publishing

City

Eagan, MN

Keywords

Securities Exchange Act, fraud, capital markets, materiality, insider trading

Disciplines

Banking and Finance Law | Law | Litigation | Securities Law

Comments

Full bibliographic details available in IUCAT

Copies available in the Jerome Hall Law Library KF 1439 .N34 2023

Securities Litigation, Enforcement, and Compliance: Cases and Materials (Fifth Edition)

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