首页> 外文OA文献 >Securities, Scienter u26 Schizophrenia: Should the Efficacy of Compliance Initiatives within Multi-Service Investment Firms Be Used to Determine Scienter for 10b-5 Violations Under Federal Securities Law?

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Securities, Scienter u26 Schizophrenia: Should the Efficacy of Compliance Initiatives within Multi-Service Investment Firms Be Used to Determine Scienter for 10b-5 Violations Under Federal Securities Law?

机译：精神分裂症患者：应当根据联邦证券法，使用多服务投资公司中合规计划的有效性来确定违反10b-5行为的科学家吗？

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Wishengrad David Ian;
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年度 2005
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1. The SEC Attacks What It Describes as 'A Legal Opinion Letter Business that Facilitated the Fraudulent Sale of Securities in Violation of the Federal Securities Laws' Part 2 [J] . Robert Barron Securities Regulation Law Journal . 2013,第4期

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2. The SEC Attacks What it Describes as 'A Legal Opinion Letter Business that Facilitated the Fraudulent Sale of Securities in Violation of the Registration Provisions of the Federal Securities Laws' Part 1 [J] . Robert A. Barron Securities Regulation Law Journal . 2013,第2期

机译：SEC抨击它所描述的“法律意见书业务，该业务促进违反联邦证券法注册规定的欺诈性证券销售”
3. Removal of class actions filed in state court alleging federal securities law violations [J] . Caryn Jacobs, Jeffrey M. Strauss, John J. Tharp Jr, Journal of Investment Compliance . 2008,第4期

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4. An explorative study on information security of trust accounts within law firms in South Australia: Implications for IT security management [C] . Mubarak, Sameera, Slay, . 2006

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5. Assessing the Factors that Determine Compliance with the Federal Information Security Management Act (FISMA). [D] . Thomas, Carlos A. 2012

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6. The Scienter Standard of Liability under the Proposed Federal Securities Code [O] . Klink Fredric J. 1981

机译：拟议的联邦证券法下的科学家责任标准

Securities, Scienter u26 Schizophrenia: Should the Efficacy of Compliance Initiatives within Multi-Service Investment Firms Be Used to Determine Scienter for 10b-5 Violations Under Federal Securities Law?

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