Exchange Act Causes of Action

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Can you name the Exchange Act Causes of Action?

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Express cause of action against willfully participating in any act in violation of subsection (a), (b), or (c) of [the section] (generally, manipulation of securities prices)
Express civil remedy for short swing trading by insiders
Express civil remedy for false or misleading statements in Exchange Act filings
Express cause of action against control persons
Implied cause of action for fraudulent misstatements or omissions in relation to the purchase or sale of a security
Implied private cause of action for injunctive relief if there is a tender offer or accumulation of stock for the purpose of controlling the issuer
Implied private right of action for misstatements and omissions in proxy materials
Implied private right of action largely modeled after section 10(b) of the Exchange Act but is more explicitly addressed to the tender offer context
Implied cause of action with respect to contracts made in violation of the Exchange Act or rule thereunder against the violator and knowing successors in interest
It is unlawful for a person to effect a securities fraud through another personThe 'ventriloquist dummy' statute Of interest after the Janus decision. Not yet definitevly clear a private right of action exists. And the controlling person had to 'knowingly use' the controlled entity to violate the securities laws.

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Created Aug 9, 2011ReportNominate
Tags:act, action, cause, exchange