Nomination of David S. Ruder: Hearing Before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundredth Congress, First Session on the Nomination of David S. Ruder, of Illinois, to be a Member of the Securities and Exchange Commission for the Term of Five Years Expiring June 5, 1991, Vice John S.R. Shad, Resigned, July 22, 1987, Volume 4U.S. Government Printing Office, 1987 - 97 pages |
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activities additional American Bar Association believe broker-dealer budget business judgment rule Business Lawyer capital markets Chairman Chicago Commission Resources Commission's committee companies concern confirmed conflict of interest Congress Corporate Law corporate takeovers David Ruder debt disclosure economic Exchange Commission Federal Securities Laws filings firm Government greenmailers hearings hostile takeovers Illinois increase individual investors insider trading investigation issue issuers John Shad Law School legislation leveraged buyout Member nomination Northwestern University OPENING STATEMENT percent position Practising Law Institute problems program trading Proxmire recent regarding require Response to Question Rule rulemaking SEC's Securities and Exchange securities industry Securities Regulation self-regulatory organizations Senator BOND Senator D'Amato Senator DIXON Senator GRAHAM Senator HEINZ Senator KARNES Senator RIEGLE Senator SANFORD Senator SHELBY share share/one vote shareholders staff STATEMENT OF SENATOR stockholders tender offer law Thank tion U.S. Attorney understand vigorous enforcement violations Wall Street
Popular passages
Page 67 - ... he acted in good faith and had no knowledge that such statement was false or misleading.
Page 48 - Ruder, Pitfalls in the Development of a Federal Law of Corporations by Implication through Rule 10b-5, 59 Nw.
Page 52 - The Role and Composition of the Board of Directors of a Large Publicly Held Corporation...
Page 48 - Ruder, Civil Liability Under Rule 10b-5: Judicial Revision of Legislative Intent?, 57 Nw.
Page 50 - Ruder, Multiple Defendants in Securities Law Fraud Cases: Aiding and Abetting, Conspiracy, In Pari Delicto, Indemnification and Contribution, 120 U.
Page 51 - Factors Determining the Degree of Culpability Necessary For Violation of the Federal Securities Laws In Information Transmission Cases,
Page 75 - ... continuing enforcement program to address a wide range of inadequate disclosures of corporate and market information required by the securities laws. 5/ EDGAR may eventually permit individual investors to access corporate data directly through their personal computers. 5 FUNCTIONAL REGULATION Question . The SEC has made a concerted effort to regulate certain securities activities of financial institutions and has pressed for Congress to legislate "functional regulation" into place, granting to...
Page 9 - Senator Graham. OPENING STATEMENT OF SENATOR GRAHAM Senator GRAHAM. Mr. Chairman, I also have a statement which I would like to submit for the record.
Page 82 - Do you agree that this is a problem, and if so what do you think should be done about it?
Page 77 - Do you think that legislation should be enacted to encourage foreign governments to enter into formal...