Inside information and securities trading: a legal and economic analysis of the foundations of liability in the U.S.A. and the European Community
Gespeichert in:
| 1. Verfasser: | |
|---|---|
| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
London [u.a.]
Graham & Trotman
1991
|
| Ausgabe: | 1. publ. |
| Schlagworte: | |
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | Literaturverz. S. 209 - 222 |
| Beschreibung: | XI, 222 S. |
| ISBN: | 185333569X |
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| 100 | 1 | |a Bergmans, Bernhard |e Verfasser |4 aut | |
| 245 | 1 | 0 | |a Inside information and securities trading |b a legal and economic analysis of the foundations of liability in the U.S.A. and the European Community |c Bernhard Bergmans |
| 250 | |a 1. publ. | ||
| 264 | 1 | |a London [u.a.] |b Graham & Trotman |c 1991 | |
| 300 | |a XI, 222 S. | ||
| 336 | |b txt |2 rdacontent | ||
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| 650 | 7 | |a Responsabilité (Droit) - Etats-Unis |2 ram | |
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| 650 | 4 | |a Insider trading in securities |x Law and legislation |z European Economic Community countries | |
| 650 | 4 | |a Insider trading in securities |x Law and legislation |z United States | |
| 650 | 4 | |a Liability (Law) |z European Economic Community countries | |
| 650 | 4 | |a Liability (Law) |z United States | |
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Datensatz im Suchindex
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|---|---|
| adam_text | CONTENTS
INTRODUCTION 1
PART 1 LAW
Subpart 1 U.S.A.
Chapter I. DEVELOPMENT OF THE LAW OF ^INSIDER TRADING*
A. Common law 7
B. Federal securities regulation 9
C Case law development 10
1. Origin 10
2. Expansion 11
3. The »information approach* and its rejection in favor of a
»fiduciary duty approach* 12
4. The »misappropriation approach* 13
D. Other sources of liability 14
E. Congressional reactions 15
Chapter II. PRESENT LEGAL SITUATION
A. Common elements of »insider tradings 17
1. Trading in securities 17
2. Material information 19
3. Nonpublic information 19
B. General basis of liability: section 10(b) and rule 10b 5 20
1. The »fiduciary duty approach* 21
2. The »misappropriation approach* 23
C Elements of cause of action under section 10(b) and rule 10b 5 25
1. Connection with the purchase or sale of securities 26
2. Scienter 26
3. Materiality 27
v
vi CONTENTS
D. Enforcement of the »insider trading« prohibition 27
1. Government action 28
2. Private rights of action 29
E. Other federal sources of liability 33
1. Section 17(a) of the Securities Act of 1933 33
2. Section 16(b) of the Exchange Act of 1934 33
3. Rule 14e 3 35
4. Mail and wire fraud 36
5. RICO 37
F. Liability under state corporation law 38
Chapter III. ANALYSIS
A. Introduction 41
1. Evolution and diversification of the law of »insider trading* 41
2. Implications 42
3. Future prospects 42
B. The deficiencies of the fraud and duty analysis under section 10(b)
and rule 10b 5 43
1. The deception or fraud requirement 43
2. The duty to disclose (or abstain) 44
3. The »information approach* 45
(a) Fraud 45
(b) Source and scope of the duty 46
4. The »fiduciary duty approach* 47
(a) Fraud and fiduciary duty 47
(b) Source and nature of the duty 49
5. The »misappropriation approach* 51
(a) Fraud and misappropriation 51
(b) Source of the duty 54
C Consequences 55
1. Problems of scope 56
(a) The »information approach* 56
(b) The »fiduciary duty approach* 57
(c) The »misappropriation approach* 59
2. The ambiguities of the duty to disclose or abstain 61
3. Interpretation of section 10(b) and rule 10b 5 62
D. Conclusion 64
CONTENTS vii
Subpart 2 EUROPEAN COMMUNITY
Chapter I. THE EUROPEAN INSIDER DEALING DIRECTIVE
A. Historical development 67
B. Elements of »insider dealing« 69
1. Insiders 69
(a) Primary insiders 69
(b) Secondary insiders 71
2. Inside information 71
(a) Status 72
(b) Nature 72
(c) Contents 73
(d) Source 73
3. Transferable securities 73
C Prohibitions 74
1. Dealing 74
(a) Principle 74
(b) Restrictions 75
2. Tipping 75
D. Penalties 76
E. Enforcement 77
Chapter II. ANALYSIS
A. The need for a harmonized regulation 79
1. The need for regulation 79
(a) Frequency of »insider dealing* 79
(b) Policy argumants 80
(c) Voluntary restraints and/or self regulation 80
2. The need for harmonization 82
B. Implementation 83
1. Elements of »insider dealing* 84
(a) Inside information and transferable securities 84
(b) Insiders 84
2. Prohibitions 87
(a) Dealing 87
(b) Tipping 87
viii CONTENTS
3. Remedies and sanctions 88
(a) Necessity and adequacy of specific criminal sanctions 89
(b) Common law alternatives 90
(c) Final solution 90
4. Enforcement 92
C Final appreciation 92
1. Foundations of liability 93
2. Policy 94
3. Conclusion 95
PART 2 POLICY
INTRODUCTION
1. Law and lawyers 99
2. Economics and economists 100
3. An integrated approach 100
Chapter I. THE (DE )REGULATION DEBATE
A. The working of the securities market 103
1. Disclosure and availability of information 104
2. Informational efficiency 105
3. Allocational efficiency 108
4. Operational efficiency 109
5. Unfairness, equality of information and the integrity
of the securities market 110
B. The protection of the interests of particular market participants 114
1. Investors 115
(a) Economic harm 115
(b) Unfairness and equality of return 118
2. Issuers of securities 119
(a) Cost of capital 119
(b) Agency costs 120
(c) Internal efficiency 123
(d) Entrepreneurial compensation and incentive 124
3. Other market participants 127
(a) Market assistents and intermediaries 127
(b) Market auxiliaries or outside agents 128
CONTENTS ix
Chapter II. THE FREE MARKET ALTERNATIVE
A. The general setting 131
1. Information and securities markets 131
2. Inside information and »insider trading* 133
B. The role of property rights and contracts 134
1. Property rights 134
2. Coase theorem 135
C Initial allocation of property rights in inside information 136
1. (Inside) Information as a property interest 136
2. Initial allocation 137
D. Reallocation of property rights 138
1. Introduction 138
2. Intrafirm allocation 139
(a) Principles 139
(b) Criteria 140
(c) Mechanism 140
(d) Internal and external reallocation 142
3. Market reallocation 142
£. Enforcement 143
1. Ineffectiveness and costliness of administrative enforcement 143
2. Private enforcement 144
3. Administrative enforcement on demand 146
4. Modalities 146
F. The case against general regulations 147
1. The absence of demand 147
2. A misconceived protection 148
3. The »regulators« as major beneficiaries 149
Chapter III. EVALUATION
A. Some thoughts about thinking 151
B. The regulatory approach 153
1. The goal(s) of the »disclose or abstain« rule 153
2. The justification for a regulatory intervention 154
C. The free market approach 155
1. Introduction 155
2. The relevance of the demand for a prohibition 155
3. Assumptions 156
4. Implications 159
x CONTENTS
D. Ethics as a source of securities laws? 160
1. Introduction 160
2. »Insider trading* as an immoral act 160
3. The irrelevance of ethics 161
4. Appreciation 162
(a) Introduction 162
(b) Is »insider trading« immoral? 163
(c) Is regulation justified? 164
(d) Conclusion 165
E. Unfairness and distribution of wealth 165
1. Introduction 165
2. Fairness as just reward for efforts 166
3. Fairness as distributive justice 168
(a) Introduction 168
(b) Distributive effects of »insider trading« 168
(c) Fairness implications 169
F. Final observations 170
1. What type of justification is necessary? 170
2. Is regulation justified? 171
PART 3 A NEW APPROACH
Chapter I. THE INTEGRATED BALANCING APPROACH
A. General framework 175
1. The meaning of »regulation« 175
2. Justifications for regulation 176
3. The integrated balancing approach 177
B. The meaning of »insider trading« 178
1. Introduction 178
2. The economic approach 178
3. The legal approach 179
(a) Insider 179
(b) Trading 180
(c) Securities 180
4. Information as the central concept 181
C The special nature of »information« 182
1. Information as a public good 182
2. Information as a private good 184
3. Balancing the arguments 184
CONTENTS xi
Chapter II. IMPLEMENTATION
A. The law of »insider tradings as apart of information law 187
1. Introduction 187
2. Persons and information 188
3. The two components of information law 189
4. Final remarks 189
B. The rights in (inside) information 190
1. Source and nature of the rights in information 190
2. Determination of ownership of rights 191
3. Contents of the rights 192
4. Criminal liability and sanctions 193
5. Civil liability and remedies 194
(a) Source of liability 194
(b) Standing 194
(c) Calculation of damages 195
C The rights to (inside) information 196
1. Meaning and justification 196
2. Types of intervention 197
3. Categories of intervention 197
(a) Creation and dissemination of information 197
(b) Use of information 198
(c) Contents of information 198
D. Conformity with securities law 199
1. Foundations of liability in the U.S.A. 199
(a) Fundamental conception 199
(b) The »misappropriation« approach and rights in information 200
(c) The »fiduciary duty approach* and rights to information 200
2. Foundations of liability in the EC 201
3. The prohibition 202
4. Enforcement and sanctions 203
CONCLUSION 205
SELECTED BIBLIOGRAPHY 209
|
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| geographic | Europäische Gemeinschaften. Mitgliedsstaaten USA USA (DE-588)4078704-7 gnd |
| geographic_facet | Europäische Gemeinschaften. Mitgliedsstaaten USA |
| id | DE-604.BV006602172 |
| illustrated | Not Illustrated |
| indexdate | 2024-07-09T16:49:03Z |
| institution | BVB |
| isbn | 185333569X |
| language | English |
| oai_aleph_id | oai:aleph.bib-bvb.de:BVB01-004216748 |
| oclc_num | 24246901 |
| open_access_boolean | |
| owner | DE-739 DE-355 DE-BY-UBR DE-12 DE-M382 DE-188 |
| owner_facet | DE-739 DE-355 DE-BY-UBR DE-12 DE-M382 DE-188 |
| physical | XI, 222 S. |
| publishDate | 1991 |
| publishDateSearch | 1991 |
| publishDateSort | 1991 |
| publisher | Graham & Trotman |
| record_format | marc |
| spelling | Bergmans, Bernhard Verfasser aut Inside information and securities trading a legal and economic analysis of the foundations of liability in the U.S.A. and the European Community Bernhard Bergmans 1. publ. London [u.a.] Graham & Trotman 1991 XI, 222 S. txt rdacontent n rdamedia nc rdacarrier Literaturverz. S. 209 - 222 Europäische Gemeinschaften (DE-588)35439-9 gnd rswk-swf Opérations d'initié (Valeurs mobilières) - Droit - Pays de l'Union européenne Opérations d'initié (Valeurs mobilières) - Droit - États-Unis Opérations d'initié (valeurs mobilières) - Droit - Etats-Unis ram Opérations d'initié (valeurs mobilières) - Droit - Pays de la Cee ram Opérations d'initié (valeurs mobilières) - Droit européen ram Responsabilité (Droit) - Etats-Unis ram Responsabilité (Droit) - Pays de l'Union européenne Responsabilité (Droit) - Pays de la Cee ram Responsabilité (Droit) - États-Unis Recht Insider trading in securities Law and legislation European Economic Community countries Insider trading in securities Law and legislation United States Liability (Law) European Economic Community countries Liability (Law) United States Insidergeschäft (DE-588)4114025-4 gnd rswk-swf Haftung (DE-588)4022898-8 gnd rswk-swf Börse (DE-588)4007502-3 gnd rswk-swf Rechtsvergleich (DE-588)4115712-6 gnd rswk-swf Europäische Gemeinschaften. Mitgliedsstaaten USA USA (DE-588)4078704-7 gnd rswk-swf USA (DE-588)4078704-7 g Börse (DE-588)4007502-3 s Insidergeschäft (DE-588)4114025-4 s Haftung (DE-588)4022898-8 s Rechtsvergleich (DE-588)4115712-6 s DE-604 Europäische Gemeinschaften (DE-588)35439-9 b HBZ Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=004216748&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Bergmans, Bernhard Inside information and securities trading a legal and economic analysis of the foundations of liability in the U.S.A. and the European Community Europäische Gemeinschaften (DE-588)35439-9 gnd Opérations d'initié (Valeurs mobilières) - Droit - Pays de l'Union européenne Opérations d'initié (Valeurs mobilières) - Droit - États-Unis Opérations d'initié (valeurs mobilières) - Droit - Etats-Unis ram Opérations d'initié (valeurs mobilières) - Droit - Pays de la Cee ram Opérations d'initié (valeurs mobilières) - Droit européen ram Responsabilité (Droit) - Etats-Unis ram Responsabilité (Droit) - Pays de l'Union européenne Responsabilité (Droit) - Pays de la Cee ram Responsabilité (Droit) - États-Unis Recht Insider trading in securities Law and legislation European Economic Community countries Insider trading in securities Law and legislation United States Liability (Law) European Economic Community countries Liability (Law) United States Insidergeschäft (DE-588)4114025-4 gnd Haftung (DE-588)4022898-8 gnd Börse (DE-588)4007502-3 gnd Rechtsvergleich (DE-588)4115712-6 gnd |
| subject_GND | (DE-588)35439-9 (DE-588)4114025-4 (DE-588)4022898-8 (DE-588)4007502-3 (DE-588)4115712-6 (DE-588)4078704-7 |
| title | Inside information and securities trading a legal and economic analysis of the foundations of liability in the U.S.A. and the European Community |
| title_auth | Inside information and securities trading a legal and economic analysis of the foundations of liability in the U.S.A. and the European Community |
| title_exact_search | Inside information and securities trading a legal and economic analysis of the foundations of liability in the U.S.A. and the European Community |
| title_full | Inside information and securities trading a legal and economic analysis of the foundations of liability in the U.S.A. and the European Community Bernhard Bergmans |
| title_fullStr | Inside information and securities trading a legal and economic analysis of the foundations of liability in the U.S.A. and the European Community Bernhard Bergmans |
| title_full_unstemmed | Inside information and securities trading a legal and economic analysis of the foundations of liability in the U.S.A. and the European Community Bernhard Bergmans |
| title_short | Inside information and securities trading |
| title_sort | inside information and securities trading a legal and economic analysis of the foundations of liability in the u s a and the european community |
| title_sub | a legal and economic analysis of the foundations of liability in the U.S.A. and the European Community |
| topic | Europäische Gemeinschaften (DE-588)35439-9 gnd Opérations d'initié (Valeurs mobilières) - Droit - Pays de l'Union européenne Opérations d'initié (Valeurs mobilières) - Droit - États-Unis Opérations d'initié (valeurs mobilières) - Droit - Etats-Unis ram Opérations d'initié (valeurs mobilières) - Droit - Pays de la Cee ram Opérations d'initié (valeurs mobilières) - Droit européen ram Responsabilité (Droit) - Etats-Unis ram Responsabilité (Droit) - Pays de l'Union européenne Responsabilité (Droit) - Pays de la Cee ram Responsabilité (Droit) - États-Unis Recht Insider trading in securities Law and legislation European Economic Community countries Insider trading in securities Law and legislation United States Liability (Law) European Economic Community countries Liability (Law) United States Insidergeschäft (DE-588)4114025-4 gnd Haftung (DE-588)4022898-8 gnd Börse (DE-588)4007502-3 gnd Rechtsvergleich (DE-588)4115712-6 gnd |
| topic_facet | Europäische Gemeinschaften Opérations d'initié (Valeurs mobilières) - Droit - Pays de l'Union européenne Opérations d'initié (Valeurs mobilières) - Droit - États-Unis Opérations d'initié (valeurs mobilières) - Droit - Etats-Unis Opérations d'initié (valeurs mobilières) - Droit - Pays de la Cee Opérations d'initié (valeurs mobilières) - Droit européen Responsabilité (Droit) - Etats-Unis Responsabilité (Droit) - Pays de l'Union européenne Responsabilité (Droit) - Pays de la Cee Responsabilité (Droit) - États-Unis Recht Insider trading in securities Law and legislation European Economic Community countries Insider trading in securities Law and legislation United States Liability (Law) European Economic Community countries Liability (Law) United States Insidergeschäft Haftung Börse Rechtsvergleich Europäische Gemeinschaften. Mitgliedsstaaten USA |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=004216748&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
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