32652_Soderquist_on_the_Securities_Rel. 10

====== T-1 ======


Table of Authorities

(References are to pages.)

Cases

A

Aaron v. SEC

8-28, 12-19

Adams v. Standard Knitting Mills, Inc.

10-59

Adams Golf, Inc. Sec. Litig., In re

8-12, 8-13

Adler v. Klawans

13-24

Advanta Corp. Sec. Litig., In re

12-19

AES Corp. v. Dow Chem. Co.

5-22

Affiliated Ute Citizens v. United States

12-11, 12-12

A.J. White & Co. v. SEC

3-47

Alexander v. Stark

8-21

Amanda Acquisition Corp. v. Universal Foods Corp.

11-26

Am. Fed’n of State, Cnty. & Mun. Emps. v. Am. Int’l Grp. Inc.

10-33

AOL Time Warner, Inc. Sec. & ERISA Litig., In re

8-8

Apollo Grp., Inc. Sec. Litig., In re

12-15

Associated Randall Bank v. Griffin, Kubik, Stephens & Thompson, Inc.

8-25

AUSA Life Ins. Co. v. Ernst & Young

12-13

B

Barrie v. Intervoice-Brite, Inc.

12-20

Basic, Inc. v. Levinson

2-11, 12-12, 12-36, 12-37, 12-39

Bastian v. Petren Res. Corp.

12-13

====== T-2 ======

Batwin v. Occam Networks, Inc.

12-52

Berry v. Valence Tech., Inc.

12-46

Berson v. Applied Signal Tech., Inc.

12-22

Birnbaum v. Newport Steel Corp.

12-15, 12-16

Blackie v. Barrack

12-12

Blau v. Lamb

13-24

Blau v. Lehman

13-7, 13-8

Blue Chip Stamps v. Manor Drug Stores

12-3, 12-15, 12-16, 12-17, 12-18, 12-19

Bollinger v. Marco Bay Homes, LLC

5-13

Bond Opportunity Fund v. Unilab Corp.

10-61

Brody v. Transitional Hosps. Corp.

11-20

Brooklyn Manhattan Transit Corp., In re

6-18

Broudo v. Dura Pharm., Inc.

12-13

Brown v. Enstar Grp., Inc.

10-60, 12-47

Brown v. Ivie

12-6, 12-8, 12-9

Bryant v. Avado Brands, Inc.

12-19

Busch v. Carpenter

6-18

C

CA, Inc. v. AFSCME Emps. Pension Plan

10-35

Cady, Roberts & Co., In re

9-25, 12-3

Caesars Palace Sec. Litig., In re

8-18

Caprin v. Simon Transp. Servs., Inc.

12-20

Carl M. Loeb, Rhoades & Co., In re

3-9, 3-10, 3-30, 8-2

Carnation, In re

12-36

Carpenter v. United States

9-29

Carter, In re

1-26, 1-28, 1-30

Cent. Bank of Denver, N.A. v. First Interstate Bank of Denver, N.A.

1-28, 1-32, 8-6, 8-19, 12-19, 12-47, 12-48, 12-51

Chapman v. Dunn

6-19

Charter Commc’ns, Inc. Sec. Litig., In re

1-32, 1-33, 8-33, 12-48, 12-49, 12–50, 12-52

Chem. Bank v. Arthur Andersen & Co.

5-23

Chiarella v. United States

9-26, 9-27, 9-28, 12-31

Chill v. Gen. Elec. Co.

12-20

Chromalloy Am. Corp. v. Sun Chem. Corp.

11-13

====== T-3 ======

City of Monroe Emps. Ret. Sys. v. Bridgestone Corp.

12-20, 12-23

Colan v. Mesa Petroleum Co.

13-16

Colan v. Monumental Corp.

13-2

Cole v. Schenley Indus., Inc.

10–56, 10-57, 10-58

Comshare, Inc. Sec. Litig., In re

12-19

Cook v. Avien, Inc.

6-12

Cort v. Ash

8-30, 11-13, 11-16, 11-17, 11-18

Craighead v. E.F. Hutton & Co.

8-29, 8-33

CSX Corp. v. Children’s Inv. Fund Mgmt. (UK) LLP, et al.

11-14

CTS Corp. v. Dynamics Corp. of Am.

11-25, 11-26

Currie v. Cayman Res. Corp.

8-33

D

Dabit v. Merrill Lynch, Pierce, Fenner & Smith, Inc.

12-17

Dan River, Inc. v. Unitex Ltd.

11-13

Daniel v. Teamsters

8-33

Data Probe Acquisition Corp. v. Datatab, Inc.

11-19

Davis v. Avco Fin. Servs., Inc.

8-22, 8-23

De Bruin v. Andromeda Broad. Sys., Inc.

8-18

Dellastatious v. Williams

12-47

Demaria v. Andersen

8-7, 8-15

Deviries v. Prudential-Bache Sec., Inc.

8-33

Digital Island Sec. Litig., In re

11-22

Dinsmore v. Squadron, Ellenoff, Plesent, Sheinfeld & Sorkin

8-6, 12-48

Dirks v. SEC

9-30, 12-31, 12-32, 12-33

Diskin v. Lomasney & Co.

8-17

Donahue v. Rodd Electrotype Co.

2-8

Donald J. Trump Casino Sec. Litig.— Taj Mahal Litig., In re

8-14, 10-55, 12-39

Donoghue v. Natural Microsystems Corp.

13-22

Doran v. Petroleum Mgmt. Corp.

6-11, 6-14, 6-15

Dreiling v. Am. Express Co.

13-13

Dreiling v. Jain

13-14

Dura Pharm., Inc. v. Broudo

10-58, 12-13, 12-14

DVI, Inc. Sec. Litig., In re

12-52

====== T-4 ======

E

Edgar v. MITE Corp.

11-23

Egghead.com, Inc. v. Brookhaven Capital Mgmt. Co. Ltd.

13-11

Eichenholtz v. Brennen

8-36

Elec. Specialty Co. v. Int’l Controls Corp.

11-16, 11-17, 11-18

Elkind v. Liggett & Myers, Inc.

12-40, 12-41

Enron Corp. Sec., Derivative & ERISA Litig., In re

1-31, 1-32, 8-15

Enter. Mortg. Acceptance Co. Sec. Litig., In re

12-45, 12-46

Epstein v. MCA, Inc.

11-5, 11-6, 11-8

Ernst & Ernst v. Hochfelder

12-3, 12-18, 12-19

Escott v. BarChris Constr. Corp.

8-10

F

Feder v. Martin Marietta Corp.

13-8

Feldbaum v. Avon Prods., Inc.

11-19

Fener v. Operating Eng’rs Constr. Indus. & Miscellaneous Pension Fund

12-15

Field v. Clark

1-13

Finkel v. Stratton Corp.

8-33

Fla. Commercial Banks v. Culverhouse

11-14, 11-18

Ford Motor Co. Sec. Litig., In re

11-22, 12-40

Foremost-McKesson, Inc. v. Provident Sec. Co.

13-17, 13-18, 13-19

Foss v. Bear, Stearns & Co.

12-46

Found. v. Forman

5-9, 5-10, 5-14, 5-17, 5-21

Frank v. Dana Corp.

12-21

Franklin, Meyer & Barnett, In re

3-27, 3-32

Frederiksen v. Poloway

5-20

Fridrich v. Bradford

12-41

Fuller v. Dilbert

8-16, 8-17

G

Gallagher v. Abbott Labs.

12-35

Gap Stores Sec. Litig., In re

8-11

====== T-5 ======

Gasner v. Bd. of Supervisors of Cnty. of Dinwiddie, Va.

8-14, 12-39

Gateway Indus., Inc. v. Agency Rent A Car, Inc.

11-13

Gen. Aircraft Corp. v. Lampert

11-13

Gerstle v. Gamble-Skogmo, Inc.

10-59

Globus, Inc. v. Law Research Serv., Inc.

8-34, 8-35, 8-36

Goldberg v. Meridor

12-10

Golden v. Garafalo

5-20

Goldman Sachs & Co., In re

3-13, 3-30

Gollust v. Mendell

13-20

Gould v. Ruefenacht

5-20

Grace v. Rosenstock

10-58

Gray v. Furia Org., Inc.

9-12

Greebel v. FTP Software, Inc.

12-19, 12-20

Greenfield v. Heublein, Inc.

12-38

Grippo v. Perazzo

12-11

Grossman v. Novell, Inc.

12-39

Gustafson v. Alloyd Co.

3-29, 3-30, 6-3, 8-7, 8-20, 8-21, 8-29, 8-33

H

Hallwood Realty Partners, L.P. v. Gotham Partners, L.P.

11-14

Halperin v. EBanker USA.com, Inc.

12-39

Hanson Trust PLC v. SCM Corp.

11-10

Harris v. Ivax Corp.

8-14, 10-55, 11-22, 12-40

Harrison v. Dean Witter Reynolds, Inc.

8-26

Helwig v. Vencor, Inc.

8-14, 8-26, 10-55, 11-22, 12-40

Herman & MacLean v. Huddleston

8-31, 9-12, 12-3

Herskowitz v. Nutri/Sys., Inc.

10-60

Hertzberg v. Dignity Partners, Inc.

8-7

Higginbotham v. Baxter Int’l, Inc.

12-22

Hill York Corp. v. Am. Int’l Franchises, Inc.

6-11

Hirk v. Agri-Research Council, Inc.

5-8

Howard v. Everex Sys., Inc.

12-20

Howing Co. v. Nationwide Corp.

12-12

Humana, Inc. v. Am. Medicorp, Inc.

11-17

Hyde Park Partners, L.P. v. Connolly

11-26

====== T-6 ======

I

Ikon Office Solutions, Inc. Sec. Litig., In re

12-51

Impac Mortg. Holdings, Inc. Sec. Litig., In re

12-22

In re Adams Golf, Inc. Sec. Litig.

8-12, 8-13

In re Advanta Corp. Sec. Litig.

12-19

In re AOL Time Warner, Inc. Sec. & ERISA Litig.

8-8

In re Apollo Grp., Inc. Sec. Litig.

12-15

In re Brooklyn Manhattan Transit Corp.

6-18

In re Cady, Roberts & Co.

9-25, 12-3

In re Caesars Palace Sec. Litig.

8-18

In re Carl M. Loeb, Rhoades & Co.

3-9, 3-10, 3-30, 8-2

In re Carnation

12-36

In re Carter

1-26, 1-28, 1-30

In re Charter Commc’ns, Inc. Sec. Litig.

1-32, 1-33, 8-33, 12-48, 12-49, 12–50, 12-52

In re Comshare, Inc. Sec. Litig.

12-19

In re Digital Island Sec. Litig.

11-22

In re Donald J. Trump Casino Sec. Litig.— Taj Mahal Litig.

8-14, 10-55, 12-39

In re DVI, Inc. Sec. Litig.

12-52

In re Enron Corp. Sec., Derivative & ERISA Litig.

1-31, 1-32, 8-15

In re Enter. Mortg. Acceptance Co. Sec. Litig.

12-45, 12-46

In re Ford Motor Co. Sec. Litig.

11-22, 12-40

In re Franklin, Meyer & Barnett

3-27, 3-32

In re Gap Stores Sec. Litig.

8-11

In re Goldman Sachs & Co.

3-13, 3-30

In re Ikon Office Solutions, Inc. Sec. Litig.

12-51

In re Impac Mortg. Holdings, Inc. Sec. Litig.

12-22

In re Ira Haupt & Co.

7-9, 7-10, 7-11, 7-12

In re Joe Loofbourrow

5-29

In re JWP, Inc. Sec. Litig.

8-21

In re Lord Abbet Mut. Funds Fee Litig.

12-17

In re Melton and Asset Mgmt. & Research, Inc.

9-19

In re Mut. Funds Inv. Litig.

12-14

In re Nahc, Inc.

12-46

In re NationsMart Sec. Litig.

8-9

In re Oklahoma-Texas Trust

7-8

In re Omnicom Grp., Inc. Sec. Litig.

12-15

In re Penn Cent. Sec. Litig.

9-12

====== T-7 ======

In re Pure Res., Inc. S’holders Litig.

11-23

In re Red Bank Oil Co.

4-12

In re Refco, Inc. Sec. Litig.

12-53

In re Salomon Analyst Metromedia Litig.

12-12

In re Scholastic Corp. Sec. Litig.

12-20

In re Silicon Graphics, Inc. Sec. Litig.

12-19, 12-20

In re Software Toolworks, Inc., Sec. Litig.

1-28, 8-10, 8-24

In re Sunrise Sec. Litig.

8-36

In re Theodore Sotirakis

5-29

In re Time Warner, Inc. Sec. Litig.

12-35

In re Toks Inc.

4-13

In re United Corp.

7-10

In re Universal Camera Corp.

4-28

In re Wash. Pub. Power Supply Sys. Sec. Litig.

8-33

In re WorldCom, Inc. Sec. Litig.

8-15

In re WowAuction.com Inc.

5-29

Ind. Elec. Workers’ Pension Trust Fund IBEW v. Shaw Grp., Inc.

12-22

Ind. Nat’l Corp. v. Rich

11-13

Int’l Bhd. of Teamsters v. Daniel

5-5, 5-6, 5-9, 5-10, 5-14, 5-17

Ira Haupt & Co., In re

7-9, 7-10, 7-11, 7-12

Isquith v. Caremark Int’l, Inc.

12-10

J

J.I. Case Co. v. Borak

8-30, 8-31, 10-53

Joe Loofbourrow, In re

5-29

John Nuveen & Co. v. Sanders

8-24

Johnson v. SEC

12-46

Joseph v. Wiles

8-7

Junker v. Crory

8-23

JWP, Inc. Sec. Litig., In re

8-21

K

Kapps v. Torch Offshore, Inc.

8-13

Kardon v. Nat’l Gypsum Co.

12-2

Kauthar SDN BHD v. Sternberg

8-21

Kavelas v. Melrose-Wakefield Hosp.

12-20

Kerbs v. Fall River Indus., Inc.

3-6

====== T-8 ======

Kern Cnty. Land Co. v. Occidental Petroleum Corp.

13-14, 13-15, 13-16, 13-24

Ketchum v. Green

12-6, 12-7, 12-8, 12-9

Kirshner v. United States

8-33

Kushner v. Beverly Enters., Inc.

12-20

L

Lampf, Pleva, Lipkind, Prupis & Petigrow v. Gilbertson

12-45

Landreth Timber Co. v. Landreth

5-18, 5-19, 5-20, 5-21, 5-22

Landry v. All Am. Assurance Co.

8-33

Las Vegas Hawaiian Dev. Co. v. SEC

4-11, 4-12, 4-32

Lee v. Ernst & Young LLP

8-7

Leff v. CIP Corp. Inc.

11-13

Lennerth v. Mendenhall

3-6, 8-22

Lerro v. Quaker Oats Co.

11-5, 11-6, 11-8

Levinson v. Basic, Inc.

12-38, 12-39

Levy v. Sterling Holding Co., LLC

13-13, 13-14

Libaire v. Kaplan

9-24

Liberty Nat’l Ins. Holding Co. v. Charter Co.

11-13, 11-14, 11-17, 11-18

Liberty Prop. Trust v. Republic Props. Corp.

5-13

Liggett Co. v. Lee

1-4

Litzler v. CC Invs., L.D.C.

13-12

Lively v. Hirschfeld

6-14

Lone Star Ladies Inv. Club v. Schlotzsky’s, Inc.

8-22

Lord Abbet Mut. Funds Fee Litig., In re

12-17

Lormand v. US Unwired, Inc.

12-14

M

Magma Power Co. v. Dow Chem. Co.

13-16

Makor Issues & Rights, Ltd. v. Tellabs, Inc.

12-22, 12-23

Maldanado v. Dominguez

8-21, 8-29, 8-32

Marine Bank v. Weaver

5-16, 5-17, 5-18, 5-19, 5-22

Matsushita Elec. Indus. Co. v. Epstein

11-5

Mayer v. Chesapeake Ins. Co. Ltd.

13-24

McMahan & Co. v. Wherehouse Entm’t, Inc.

12-40

Medtox Sci., Inc. v. Morgan Capital LLC

13-22

Mehl v. Office of Fin. Regulation

5-15

====== T-9 ======

Melton and Asset Mgmt. & Research, Inc., In re

9-19

Mercer v. Jaffe, Snider, Raitt & Heuer, P.C.

8-23

Merck & Co. v. Reynolds

12-46

Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Curran

8-31, 8-32, 11-13

Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Dabit

12-17

Metge v. Baehler

8-26

Metzler Inv. GmbH v. Corinthian Colls., Inc.

12-15

Mihara v. Dean Witter & Co.

14-7

Miller v. Asensio & Co.

12-44

Millionerrors Inv. Club v. Gen. Elec.

11-5

Mills v. Elec. Auto-Lite Co.

10-55, 10-56, 10-58, 12-11

Milnarik v. M-S Commodities, Inc.

5-8

Mizzaro v. Home Depot, Inc.

12-21, 12-22

Mobil Corp. v. Marathon Oil Co.

11-17, 11-19

Monroe v. Hughes

8-10

Morales v. New Valley Corp.

13-22

Morales v. Quintel Entm’t, Inc.

13-11

Mosher v. Kane

8-33

Moss v. Morgan Stanley, Inc.

9-28, 9-29

Musick, Peeler & Garrett v. Emp’rs Ins. of Wausau

8-35, 12-53

Mut. Funds Inv. Litig., In re

12-14

N

Nahc, Inc., In re

12-46

Nathenson v. Zonagen, Inc.

12-19

Nat’l Bank of Commerce v. All Am. Assurance Co.

5-24

NationsMart Sec. Litig., In re

8-9

Newcome v. Esrey

8-33

Newman v. Prior

8-33

Nolte v. Capital One Fin. Corp.

12-20

O

Oklahoma-Texas Trust, In re

7-8

Omnicom Grp., Inc. Sec. Litig., In re

12-15

Ontario Pub. Serv. Emps. Union Pension Trust Fund v. Nortel Networks Corp.

12-17

====== T-10 ======

Ottmann v. Hanger Orthopedic Grp., Inc.

12-19

Oxford Asset Mgmt. v. Jaharis

4-18

P

P. Stolz Family P’ship L.P. v. Daum

8-7, 8-14, 8-16, 10-55, 11-22, 12-39

Padilla v. MedPartners

11-6

Pavlidis v. New England Patriots Football Club, Inc.

10-54

Penn Cent. Sec. Litig., In re

9-12

Perera v. Chiron Corp.

11-5

Phillips v. LCI Int’l, Inc.

12-36

Pinter v. Dahl

8-18, 8-22, 8-23

Piper v. Chris-Craft Indus., Inc.

11-15, 11-16, 11-17, 11-18

Plaine v. McCabe

11-18

Plano Remittance Corp. v. Reliance Fin. Servs. Corp.

13-19

Polaroid Corp. v. Disney

11-18

Portsmouth Square Inc. v. S’holders Protective Comm.

11-13

Press v. Chem. Inv. Servs.

12-19

Provenz v. Miller

12-39

Pugh v. Tribune Co.

12-52

Pure Res., Inc. S’holders Litig., In re

11-23

R

Randall v. Loftsgaarden

12-40

Rattner v. Lehman

13-6, 13-7

Red Bank Oil Co., In re

4-12

Reece Corp. v. Walco Nat’l Corp.

13-18

Refco, Inc. Sec. Litig., In re

12-53

Regents of Univ. of Cal. v. Credit Suisse First Boston (USA), Inc.

1-33, 12-48

Reliance Elec. Co. v. Emerson Elec. Co.

13-18

Reves v. Ernst & Young

5-18, 5-21, 5-22, 5-23, 5-24

Richey v. Horner

12-46

Robinson v. Glynn

5-15

Rombach v. Chang

8-9, 11-22

Rondeau v. Mosinee Paper Corp.

11-12

Rosenzweig v. Azurix Corp.

8-22

Ross v. A.H. Robins Co.

9-34

Ross v. Bank S., N.A.

12-12

====== T-11 ======

Roth v. Perseus, L.L.C.

13-13

Rowinski v. Salomon Smith Barney, Inc.

12-17

Royal Bus. Grp., Inc. v. Realist, Inc.

10-53

Royer’s, Inc. v. United States

1-15

Rubin v. United States

5-16, 5-24, 5-25

Rubke v. Capitol Bancorp Ltd.

8-9

Ryan v. Flowserve

12-15

Ryder Int’l Corp. v. First Am. Nat’l Bank

8-23

S

Salomon Analyst Metromedia Litig., In re

12-12

Sanders v. John Nuveen & Co.

5-19, 8-24

Santa Fe Indus., Inc. v. Green

12-9

Schlifke v. Seafirst Corp.

8-33

Scholastic Corp. Sec. Litig., In re

12-20

Schreiber v. Burlington N., Inc.

11-18, 11-19, 11-20

SEC v. Adler

12-33

SEC v. Calvo

8-2

SEC v. Capital Gains Research Bureau, Inc.

8-32

SEC v. Carter Hawley Hale Stores, Inc.

11-10, 11-11

SEC v. Chenery Corp.

12-32

SEC v. Cont’l Commodities Corp.

5-8

SEC v. Datronics Eng’rs, Inc.

5-28

SEC v. Edwards

5-11, 5-14, 5-15

SEC v. First Jersey Sec., Inc.

12-47

SEC v. Glenn W. Turner Enters., Inc.

5-7, 5-8, 5-12, 5-14

SEC v. Guild Films Co.

5-24

SEC v. Happ

12-38

SEC v. Harwyn Indus. Corp.

5-28

SEC v. HealthSouth Corp.

9-19

SEC v. Koscot Interplanetary, Inc.

5-7, 5-12

SEC v. Lauer

5-8

SEC v. Lowery

5-13, 5-14

SEC v. Lund

12-32

SEC v. MacDonald

4-12

SEC v. Maio

11-20

SEC v. Manor Nursing Ctrs., Inc.

3-46, 3-47

SEC v. Materia

9-28, 9-29, 12-32

SEC v. McDonald Inv. Co.

6-19

SEC v. Murphy

6-12

====== T-12 ======

SEC v. Nat’l Student Mktg. Corp.

1-23, 1-24, 1-26, 1-28

SEC v. O’Dell Beazer Homes USA, Inc.

9-21

SEC v. Peters

11-20

SEC v. Ralston Purina Co.

6-8, 6-9, 6-11, 6-14

SEC v. Resch-Cassin & Co.

14-10

SEC v. Rica Foods, Inc.

9-19

SEC v. Rind

12-46

SEC v. SG Ltd.

5-9

SEC v. Sw. Coal & Energy Co.

3-47

SEC v. Tambone

12-52

SEC v. Tex. Gulf Sulphur Co.

9-26, 12-3, 12-39

SEC v. U.S. Reservation Bank & Trust

5-23

SEC v. W.J. Howey Co.

5-4, 5-5, 5-6, 5-7, 5-9, 5-10, 5-11, 5-12, 5-13, 5-14, 5-15, 5-17

SEC v. Wolfson

12-49

SEC v. WorldCom, Inc.

12-56

SEC v. World-Wide Coin Invs., Ltd.

9-15

SEC v. Yun

12-33

SEC v. Zandford

12-10, 12-11

Sec. Indus. Ass’n v. Bd. of Governors, FRS

11-19

Semerenko v. Cendant Corp.

12-10, 12-36

S-G Sec., Inc. v. Fuqua Inv. Co.

11-10

Shapiro v. Merrill Lynch, Pierce, Fenner & Smith, Inc.

12-12, 12-41

Shelter Mut. Ins. Co. v. Pub. Water Supply Dist.

5-25

Silicon Graphics, Inc. Sec. Litig., In re

12-19, 12-20

Simpson v. AOL Time Warner, Inc.

1-33, 12-48, 12-51

Skeen v. Jo-Ann Stores, Inc.

11-23

Slayton v. Am. Express Co.

11-22, 12-40

Smallwood v. Pearl Brewing Co.

11-18

Smith v. Ayres

12-11, 12-12

Smolowe v. Delendo Corp.

13-21, 13-22

Software Toolworks, Inc., Sec. Litig., In re

1-28, 8-10, 8-24

S. Ferry, LP v. Killinger

12-22

Southland Sec. Corp. v. Inspire Ins. Solutions, Inc.

12-22, 12-23

State v. Gopher Tire & Rubber Co.

5-3, 5-4, 5-6

Steel Partners II, L.P. v. Bell Indus., Inc.

13-24

Stephenson v. Calpine Conifers II, Ltd.

8-33

Stephenson v. Paine Webber Jackson & Curtis, Inc.

8-33

Stoiber v. SEC

5-23

====== T-13 ======

Stoneridge Inv. Partners, LLC v. Scientific-Atlanta, Inc. (In re Charter Commc’ns, Inc. Sec. Litig.)

1-32, 1-33, 8-33, 12-48, 12-49, 12–50, 12-52

Stransky v. Cummins Engine Co.

12-35

Suez Equity Investors, L.P. v. Toronto-Dominion Bank

12-13

Sunrise Sec. Litig., In re

8-36

Superintendent of Ins. of N.Y. v. Bankers Life & Cas. Co.

12-5, 12-6, 12-9, 12-17

T

Tcherepnin v. Knight

5-2, 5-17

Teague v. Bakker

5-10

Teamsters Local 445 Freight Div. Pension Fund v. Dynex Capital, Inc.

12-22

Tellabs, Inc. v. Makor Issues & Rights, Ltd.

12-19, 12-20, 12-21, 12-22, 12-23

Theodore Sotirakis, In re

5-29

Theoharous v. Fong

12-46

Thompson v. Paul

12-49

Time Warner, Inc. Sec. Litig., In re

12-35

Toks Inc., In re

4-13

Torchmark Corp. v. Bixby

11-17

Touche Ross & Co. v. Redington

8-30

Transamerica Mortg. Advisors, Inc. v. Lewis

11-16

Trust Co. of La. v. N.N.P., Inc.

5-23

TSC Indus., Inc. v. Northway, Inc.

2-11, 4-18, 10-54, 12-37, 12-38

Tyson Foods, Inc. v. McReynolds

11-26

U

United Am. Bank v. Gunter

5-19

United Corp., In re

7-10

United Hous. Found., Inc. v. Forman

5-6, 5-10, 5-13, 5-17

United States v. Brown

8-3

United States v. Chestman

11-20

United States v. Gentile

5-24

United States v. Kendrick

5-25

United States v. Newman

9-27, 9-28, 9-29

====== T-14 ======

United States v. O’Hagan

9-29, 9-30, 11-20

United States v. Peltz

8-2

United States v. Sherwood

7-14

United States v. Skilling

12-5

United States v. Smith

12-33

United States v. Welden

1-15

United States v. Wolfson

3-6, 7-9

Universal Camera Corp., In re

4-28

V

Vannest v. Sage, Rutty & Co.

8-21

Va. Bankshares, Inc. v. Sandberg

10-58

W

Wagner v. First Horizon Pharm. Corp.

8-9

Wash. Pub. Power Supply Sys. Sec. Litig., In re

8-33

Weeks Dredging & Contracting, Inc. v. Am. Dredging Co.

11-17

Weiner v. Quaker Oats Co.

12-35, 12-36

Wellman v. Dickinson

11-9

Wharf (Holdings) Ltd. v. United Int’l Holdings, Inc.

12-17

Whirlpool Fin. Corp. v. GN Holdings, Inc.

8-21

Whiting v. Dow Chem. Co.

13-9

Whittaker v. Whittaker Corp.

13-9, 13-10

Whittaker Corp. v. Edgar

11-17

Winer Family Trust v. Queen

12-23

Winick v. Pac. Gateway Exch., Inc.

12-13

WorldCom, Inc. Sec. Litig., In re

8-15

WowAuction.com Inc., In re

5-29

Wright v. Ernst & Young LLP

1-28

Y

Yang v. Odom

12-46

Z

Zeller v. Bogue Elec. Mfg. Corp.

5-19

Ziemba v. Cascade Int’l, Inc.

1-28

Zink v. Merrill Lynch, Pierce, Fenner & Smith, Inc.

8-33

====== T-15 ======

Statutes

Statutes by Name

Act of July 8, 1966

1-14

Alaska Native Claims Settlement Act § 37(d)(6)

11-3

Amendments to the Securities Exchange Act of 1934

14-3

Bubble Act of 1720

1-3, 1-4

Commodity Exchange Act

8-31

Commodity Futures Modernization Act

5-3

Dodd-Frank Wall Street Reform and Consumer Protection Act

generally

8-27, 10-18, 10-19, 10-20, 10-21, 10-23, 10-30, 10-31, 12-56, 12-57, 14-16

§ 413

6-28

§ 413(a)

6-5, 6-6

§ 415

6-28

§ 913

14-6

§ 926

6-28

§ 929M

8-6

§ 929P

8-4, 12-57

§ 939G

8-9

§ 944

6-5

§ 954

9-21

§ 989G

9-26

Energy Policy and Conservation Act of 1975

4-17

English Companies Act of 1929

1-5

Foreign Corrupt Practices Act of 1977

9-13, 9-14, 9-15

Freedom of Information Act

4-27

Gramm-Leach-Bliley Act

5-3

Investment Advisers Act of 1940

1-6, 1-7, 8-27, 14-16

Investment Company Act of 1940

1-6, 1-7, 7-22, 8-6, 11-3, 14-6

National Securities Markets Improvement Act of 1996

1-20, 9-1

Private Securities Litigation Reform Act of 1995 (PSLRA)

1-28, 8-6, 9-24, 12-14, 12-19, 12-21, 12-22, 12-23, 12-52

Public Utility Holding Company Act of 1935

1-6

====== T-16 ======

Securities Litigation Uniform Standards Act of 1998

8-6, 9-24, 12-23

Sherman Antitrust Act of 1890

1-4

Small Business Investment Incentive Act of 1980

6-6

Trust Indenture Act of 1939

1-6, 1-7

Williams Act

generally

11-2, 11-3, 11-9, 11-12, 11-17, 11-18, 11-19, 11-23, 11–24, 11-25

§ 13

11-4

§ 14(d)

11-4

§ 14(e)

11-8

Public Laws

75-719 (Amendments to the Securities Exchange Act of 1934)

14-3

89-497 (Act of July 8, 1966)

1-14

107-204 (Sarbanes-Oxley Act of 2002)

1-2

111-203 (Dodd-Frank Wall Street Reform and Consumer Protection Act)

5-3, 6-28, 8-4, 9-21, 10-9, 12-57, 14-6

United States Code

Title 1

§ 106a

1-14

§ 112

1-14

§ 113

1-13, 1-14, 1-15

§ 204(a)

1-14

Title 5

§ 552(a)

1-15, 1-16, 1-17

Title 15

§ 77a

1-15

§ 77b

1-15

Title 18

§ 2

1-28, 8-6, 8-19, 12-48

§ 1341

12-55

§ 1343

12-55

§ 1348

9-29, 12-5, 12-53, 12-54, 12-55

§ 1348(1)

12-54, 12-55

§ 1348(2)

12-55

§ 1349

12-55

§ 1350

9-18

Title 28

§ 1658

8-8, 8-34, 12-45

§ 2462

12-46

====== T-17 ======

Title 44

§ 1503

1-15, 1-16

§ 1505(a)

1-15

§ 1507

1-16

§ 1510(a)

1-16

§ 1510(e)

1-16

Other Authorities

Code of Federal Regulations

Title 1

§ 2.5(a)

1-14

§ 3.2(a)

1-14, 1-16

Title 17

§ 201.1004

12-42

§ 202.6

1-15

§ 202.9

12-43

§ 230.144

1-17

Title 36

§ 1254.1(b)

1-14, 1-16

Federal Rules of Civil Procedure

8(a)(2)

12-14

9

8-8

9(b)

8-8, 8-9, 8-19, 12-14

11(b)

12-23

State Codes

California

Cal. Corp. Code

§ 25102(n)

6-29, 7-5

Indiana

Ind. Code

§ 23-1-42-1 et seq.

11-25

Tennessee

Control Share Acquisition Act

11-26

Tenn. Code

§ 48-103-301 to -312

11-26

====== T-18 ======

Model Acts

Model Bus. Corp. Act

§ 8.40(a)

13-6

Restatements

Restatement (Second) of Contracts

§ 24

3-8

Regulations of the Board of Governors of the Federal Reserve System

Regulation T

14-10

Regulation U

14-10

Regulation X

14-10

====== T-19 ======

Securities Law Materials

Securities Act of 1933

generally

1-3, 1-5, 1-6, 1-7, 1-13, 1-15, 1-20, 1-21, 1-29, 2-2, 2-10, 2-14, 2-20, 2-21, 3-2, 3-3, 3-7, 3-20, 3-22, 3-24, 4-14, 4-17, 4-18, 4-31, 5-1, 5-2, 5-16, 5-18, 5-21, 5-24, 5-25, 6-4, 6-31, 7-10, 9-29, 10-14, 10-27, 11-2, 11-9, 14-6, 14-11

§ 1

1-15

§ 2

1-15, 3-6, 3-50, 7-7

§ 2(a)

5-16

§ 2(a)(1)

3-48, 3-49, 5-2, 5-3, 5-18

§ 2(a)(3)

3-7, 3-8, 3-9, 3-14, 3-15, 3-21, 3-26, 3-27, 5-24, 5-25, 5-28

§ 2(a)(4)

6-7, 7-7

§ 2(a)(10)

3-16, 3-22, 3-23, 3-25, 3-28, 3-30, 3-33, 3-44, 3-45, 3-51, 3-56, 6-23, 8-20

§ 2(a)(11)

5-26, 7-7, 7-8, 7-13, 7-16, 7-17, 7-21

§ 2(a)(12)

2-17, 3-51, 7-7, 7-9

§ 2(a)(15)

1-8, 6-5, 6-6

§ 2(a)(15)(i)

1-8

§ 2(a)(15)(ii)

1-8

§ 2(b)

6-4

§ 2(b)(1)

7-17, 7-18

§ 2(b)(2)

7-18

§ 2(c)(1)

7-16

§ 2A

5-3

§ 2A(a)

5-3

§ 3

6-2, 6-3, 6-4, 8-21

§ 3(a)

6-2, 6-4

§ 3(a)(2)

6-2

§ 3(a)(3)

5-18

§ 3(a)(4)

6-2

§ 3(a)(6)

6-2

§ 3(a)(9)

6-2

§ 3(a)(10)

6-2

§ 3(a)(11)

6-2, 6-7, 6-16, 6-17, 6-18, 6-19, 6-20, 6-24, 6-32, 6-33

§ 3(a)(12)

9-3

§ 3(a)(13)

13-14

§ 3(a)(14)

13-14

§ 3(b)

6-2, 6-4, 6-5, 6-23, 6-24, 6-30

§ 4

6-2, 6-3

§ 4(1)

6-3, 7-1, 7-4, 7-7, 7-9, 7-11, 7-20, 7-21, 7-22

§ 4(1½)

7-22, 7-23

§ 4(2)

1-20, 1-21, 6-3, 6-7, 6-8, 6-9, 6-16, 6-24, 6-32, 6-33, 7-4, 7-5, 7-8, 7-14, 7-22, 7-25

§ 4(3)

3-51, 3-52, 6-3, 7-9

§ 4(4)

6-3, 7-9, 7-11

§ 4(5)

6-3, 6-5, 6-6, 7-4, 7-6

§ 4(6)

6-5, 6-6, 7-4, 7-5

====== T-20 ======

§ 5

3-2, 3-5, 3-9, 3-13, 3-14, 3-15, 3-16, 3-31, 3-36, 3-41, 3-47, 3-51, 4-3, 6-2, 6-3, 6-7, 6-22, 7-9, 7-11, 8-1, 8-2, 8-15, 8-16, 8-17

§ 5(a)

3-2, 3-5, 3-7, 3-22, 3-26, 3-54, 3-55

§ 5(a)(1)

3-7, 3-26, 3-45

§ 5(a)(2)

3-7, 3-45

§ 5(b)

3-2, 3-24, 3-45, 3-46, 3-47, 3-53, 3-56

§ 5(b)(1)

3-2, 3-13, 3-16, 3-22, 3-25, 3-32, 3-36, 3-43, 3-45, 3-46, 3-47, 3-55

§ 5(b)(2)

3-2, 3-7, 3-22, 3-25, 3-44, 3-45, 3-46, 3-47, 3-48, 3-50, 3-51

§ 5(c)

3-2, 3-5, 3-6, 3-7, 3-8, 3-11, 3-13, 3-15, 3-16, 3-18, 3-22, 3-23, 3-26, 3-30, 3-36, 3-45, 3-54, 3-55, 3-56, 4-11

§ 6

4-1

§ 6(a)

2-6, 4-30, 4-20, 8-7

§ 7

4-1, 4-3, 14-10

§ 8

3-5, 3-41, 3-55, 3-56, 4-1, 4-3, 4-4, 4-32, 14-6

§ 8(a)

4-3, 4-4, 4-8, 4-9, 6-22, 6-22

§ 8(b)

4-3, 4-4, 4-12

§ 8(d)

4-3, 4-4, 4-12

§ 8(e)

4-3, 4-11, 4-12

§ 8(g)

8-4

§ 8A

8-4, 8-34, 12-57

§ 8A(f)

8-4

§ 9

14-10

§ 9(a)

1-7, 1-12, 3-15, 4-11, 4-32

§ 9(e)

12-45

§ 10

3-24, 3-25, 3-36, 3-43, 3-44, 3-46

§ 10(a)

3-24, 3-25, 3-43, 3-44, 3-46, 3-47

§ 10(a)(4)

3-25

§ 10(b)

3-25, 3-32, 3-36, 3-43, 8-32, 8-36, 9-13, 9-27, 10-59, 11-20, 12-31, 12-46, 12-48, 12-49, 12-51, 12-52

§ 10(d)

3-25

§ 11

4-3, 4-18, 4-24, 4-29, 5-26, 6-4, 8-7, 8-8, 8-9, 8-10, 8-11, 8-13, 8-14, 8-15, 8-18, 8-19, 8-21, 8-22, 8-24, 8-25, 8-26, 8-31, 8-32, 8-33, 8-34, 9-12, 12-3

§ 11(a)

8-8

§ 11(a)(1)

8-7

§ 11(a)(4)

8-9

§ 11(e)

8-8, 8-10

§ 11(f)

8-7

§ 11(f)(1)

8-34

§ 11(f)(2)

8-34

§ 12

5-27, 8-19, 8-26, 8-32, 8-33, 8-35

§ 12(a)

8-15

§ 12(a)(1)

6-4, 8-17, 8-18, 8-19, 8-22, 8-23, 8-33

§ 12(a)(2)

3-29, 5-18, 6-3, 8-18, 8-19, 8-20, 8-21, 8-22, 8-23, 8-24, 8-25, 8-26, 8-29, 8-33

§ 12(b)

8-19, 8-26

====== T-21 ======

§ 13

8-7, 8-8, 8-20

§ 14(a)

10-54, 10-59, 10-61

§ 14(c)

10-57

§ 14(e)

11-18, 11-19, 11-20, 11-22

§ 15

8-26, 8-27

§ 15(b)

8-27

§ 15(c)(1)

14-6

§ 15(c)(2)

14-6

§ 16

8-6

§ 17

5-27, 6-3, 14-6

§ 17(a)

5-24, 5-25, 7-24, 7-25, 8-2, 8-3, 8-27, 8-28, 8-29, 8-32, 8-33, 8-34, 8-35, 12-2, 14-10

§ 17(a)(1)

8-4, 8-5, 8-28, 8-34

§ 17(a)(2)

8-28, 8-34

§ 17(a)(3)

8-28, 8-34

§ 17(c)

5-18

§ 18

1-20, 9-13

§ 18(b)(3)

6-27

§ 19(a)

1-16, 3-33

§ 20(a)

8-4, 8-5

§ 20(b)

4-12, 8-4

§ 20(d)

8-4, 8-5

§ 20(e)

8-5

§ 21(d)(2)

12-43

§ 21A

12-42, 12-43

§ 21D(b)(2)

11-22

§ 21F

12-58

§ 24

1-9, 6-25, 8-2, 9-10

§ 27A

8-14, 8-19, 8-33

§ 28

6-2, 6-4, 6-5, 6-27, 6-30

Securities Act Releases

929 (July 29, 1936)

5-28

3,519 (Oct. 9, 1954)

3-25

3,568 (Aug. 29, 1955)

3-33, 3-35

3,844 (Oct. 8, 1957)

3-8, 3-9, 3-10, 3-27, 3-30

4,434 (Dec. 6, 1961)

6-17, 6-19

4,552 (Nov. 6, 1962)

6-9, 6-10, 6-11, 7-15

4,936 (Dec. 9, 1968)

4-20

4,968 (Apr. 24, 1969)

3-41, 4-6

4,982 (July 2, 1969)

5-28

5,009 (Oct. 7, 1969)

3-10

5,127 (Jan. 25, 1971)

1-10

5,170 (July 19, 1971)

4-26

5,180 (Aug. 16, 1971)

3-11, 3-16, 3-54, 3-55, 3-56

5,223 (Jan. 11, 1972)

7-12

5,231 (Feb. 3, 1972)

4-30, 4-31

5,316 (Oct. 6, 1972)

5-26

5,450 (Jan. 7, 1974)

6-20

6,074 (May 29, 1979)

4-11, 4-12

6,188 (Feb. 1, 1980)

7-1

====== T-22 ======

6,253 (Oct. 28, 1980)

1-10

6,265 (Nov. 21, 1980)

4-12

6,269 (Dec. 12, 1980)

1-10

6,281 (Jan. 15, 1981)

7-1

6,384 (Mar. 3, 1982)

4-19

6,499 (Nov. 17, 1983)

4-20, 4-21, 4-22

7,190 (June 27, 1995)

6-32

7,408 (effective March 29, 1997)

8-5

7,505 (Feb. 17, 1998)

6-32

7,700 In re Joe Loofbourrow (July 21, 1999)

5-29

7,701 In re Theodore Sotirakis (July 21, 1999)

5-29

7,702 In re WowAuction.com Inc. (July 21, 1999)

5-29

7,856 (Apr. 28, 2000)

3-13, 3-43

7,879 (Aug. 8, 2000)

3-9, 3-27

8,434 In re Goldman Sachs & Co. (July 1, 2004)

3-13

8,591, Final Rule: Securities Offering Reform (July 19, 2005)

3-2, 3-33, 3-39, 4-4, 6-26, 8-25

8,766 (Dec. 27, 2006)

6-28

8,828 (Aug. 3, 2007)

1-21, 6-26

8,869 (Dec. 6, 2007)

4-16, 9-6

8,878 (Dec. 19, 2007)

3-4, 4-15

8,891 (Feb. 6, 2008)

6-28

8,909 (Apr. 10, 2008)

4-14

8,957 (Sept. 19, 2008)

6-30

9,098 (Dec. 18, 2009)

3-20

9,177 (Jan. 25, 2011)

6-6

Securities Exchange Act of 1934

generally

1-3, 1-6, 1-7, 1-9, 1-18, 1-20, 1-21, 1-29, 1-31, 2-10, 2-11, 3-3, 3-4, 3-17, 3-37, 3-40, 3-42, 4-5, 4-7, 4-14, 4-15, 4-17, 4-23, 5-3, 5-16, 5-18, 5-21, 5-25, 6-30, 7-5, 7-19, 7-23, 8-19, 8-32, 9-1, 9-25, 9-27, 9-29, 10-14, 10-27, 11-2, 11-9, 11-20, 14-1

§ 3(a)

5-16

§ 3(a)(4)(A)

14-5

§ 3(a)(5)(A)

14-5

§ 3(a)(5)(B)

14-5

§ 3(a)(5)(C)

14-5

§ 3(a)(7)

13-5, 13-7

§ 3(a)(9)

13-7

§ 3(a)(10)

5-2, 5-3, 5-18, 5-24

====== T-23 ======

§ 3(a)(12)

9-3

§ 3(a)(13)

13-14

§ 3(a)(14)

5-25, 13-14

§ 3(f)

9-2

§ 4

1-7

§ 4C

1-28

§ 5

8-16, 8-17, 14-2

§ 6

14-2

§ 6(b)(3)

14-2

§ 6(b)(5)

14-2

§ 6(b)(6)

14-2

§ 7

14–9

§ 8

14-5

§ 9(a)(2)

14-10

§ 9(a)(6)

14-11, 14-12

§ 9(e)

12-45

§ 10(b)

1-28, 5-16, 5-25, 8-6, 8-9, 8-19, 8-29, 10-59, 11-19, 12-2, 12-6, 12-9, 12-18, 12-27, 12-31, 12-43, 12-46, 12-47, 12-48, 12-49, 12-51, 12-52, 12-57, 13-2

§ 10A

1-23

§ 10A(m)(1)

9-16

§ 10A(m)(3)

9-16

§ 10A(m)(3)(C)

9-16

§ 12

8-5, 8-15, 9-3, 9-5, 10-3, 10-39, 12-43

§ 12(a)

8-15, 8-16, 9-3

§ 12(a)(1)

8-7, 8-8, 8-15, 8-16

§ 12(a)(2)

8-7, 8-8, 8-15

§ 12(b)

9-3, 9-4

§ 12(g)

2-10, 9-5

§ 12(g)(1)

9-3, 9-4, 9-5

§ 12(g)(2)

9-3

§ 13

8-16, 9-21, 9-24, 11-15

§ 13(a)

9-6, 9-11, 9-12

§ 13(b)

9-13, 9-15

§ 13(b)(2)

9-14, 9-15

§ 13(b)(3)

9-14

§ 13(d)

11-3, 11-4, 11-9, 11-11, 11-12, 11-13, 11-14, 11-17, 13-10

§ 13(d)(3)

11-15

§ 13(e)

11-3, 11-4

§ 13(f)

10-21

§ 13(i)

9-22

§ 13(j)

9-22

§ 13(k)

9-24

§ 13(l)

9-28

§ 13D

11-12

§ 14(a)

1-8, 2-10, 8-30, 10-3, 10-4, 10-5

§ 14(b)

10-3

§ 14(c)

10-4, 10-6

§ 14(d)

11-3, 11-5, 11-9, 11-10, 11-11

§ 14(d)(5)

11-4

§ 14(d)(6)

11-5

§ 14(d)(7)

11-5

§ 14(d)(8)

11-4

§ 14(e)

11-3, 11-8, 11-11, 11-15, 11-16, 11-17, 11-18, 11-19, 11-20, 11-22

§ 14(f)

11-3, 11-8

§ 15(a)

14-5

§ 15(b)(8)

14-4

§ 15(b)(9)

14-4

§ 15(c)(1)

14-5, 14-10

§ 15(c)(2)

3-42, 14-5, 14-10

§ 15(d)

2-10, 8-5, 9-5, 9-17, 12-43

§ 15A

14-3

§ 15A(e)(1)

14-4

§ 15B

14-5

§ 15C

9-2

§ 15D

9-21

====== T-24 ======

§ 16

2-13, 7-21, 13-1, 13-2, 13-4, 13-6, 13-7, 13-12, 13-13, 13-14, 13-20

§ 16(a)

13-2, 13-3, 13-13

§ 16(b)

11-15, 13-2, 13-3, 13-4, 13-5, 13-6, 13-7, 13-8, 13-9, 13-12, 13-13, 13-14, 13-16, 13-17, 13-18, 13-19, 13-20, 13-21, 13-23, 13-26

§ 16(d)

13-12

§ 16(e)

13-12

§ 17(a)

8-30

§ 17(a)(1)

8-4, 8-5, 8-28, 8-34

§ 17(a)(2)

8-28, 8-34

§ 17(a)(3)

8-28, 8-34

§ 18

9-11, 9-12

§ 19

14-3

§ 20

1-28, 8-6, 8-27, 10-60, 11-20, 11-21, 12-47

§ 20A

9-29, 12-42, 12-45

§ 21

11-12

§ 21(d)

9-11, 12-56

§ 21(d)(2)

12-42

§ 21(d)(3)

8-5, 12-42

§ 21(d)(5)

12-56

§ 21(d)(6)

12-56

§ 21A

8-5, 12-41, 12-42

§ 21B

8-5, 12-42

§ 21C

8-4, 11-12, 12-42, 12-57

§ 21C(f)

12-57

§ 21D

9-12, 10-61, 11-22, 12-19, 12-20, 12-44

§ 21D(b)(2)

10-61, 11-22, 12-19

§ 21D(b)(4)

10-59, 11-21, 12-13

§ 21D(e)

10-60, 11-21, 12-43

§ 21D(f)

8-7, 8-34, 10-60, 11-21, 12-43, 12-53

§ 21E

9-12, 10-55, 11-22, 12-35, 12-40

§ 21E(b)(2)(C)

11-22

§ 21F

12-57, 12-58

§ 28(f)

9-24, 12-23

§ 30A

9-13

§ 32

9-9, 9-10, 9-15, 12-55

§ 32(a)

1-8

§ 36

9-2

Exchange Act Releases

2,446 (Mar. 18, 1940)

14–11, 14-13

7,824 (1966)

13-2

17,500 (Jan. 29, 1981)

9-15

17,597, In re Carter (Feb. 28, 1981)

1-26

18,114 (1981)

13-6

21,079 (June 21, 1984)

11-1

22,214, In re Carnation (July 8, 1985)

12-36

28,869 (1991)

13-6

38,447 (Mar. 29, 1997)

12-43

====== T-25 ======

43,069 (July 24, 2000)

11-8

43,154 (Aug. 15, 2000)

12-37

47,225 (Jan. 22, 2003)

13-26

47,226 (Jan. 22, 2003)

9-23

47,235 (Jan. 23, 2003; Jan. 24, 2003)

9-27

47,235A (Mar. 26, 2003)

9-27

47,262 (Jan. 27, 2003)

9-27

47,264 (Jan. 28, 2003)

9-22

47,276 (Jan. 29, 2003)

1-29

47,282 (Jan. 29, 2003)

1-31

47,410 (Feb. 26, 2003)

3-43

47,654 (Apr. 9, 2003)

9-17

47,809 (May 7, 2003)

13-3

47,890 (May 20, 2003)

9-20, 12-54

47,986 (June 5, 2003)

9-18, 9-25

48,228, In re Melton and Asset Mgmt. & Research, Inc. (July 25, 2003)

9-19

48,960, Commission Guidance Regarding Management’s Discussion and Analysis of Financial Condition and Results of Operations (Dec. 19, 2003)

9-8, 9-23

52,056 (July 19, 2005)

8-25

52,202 (Aug. 3, 2005)

13-14

52,492 (Sept. 22, 2005)

9-25

54,295 (Aug. 9, 2006)

9-25

54,302A (Aug. 29, 2006)

10–12, 10-24

54,684 (Nov. 1, 2006)

11-7

54,942 (Dec. 15, 2006)

9-25

54,976 (Dec. 20, 2006)

9-26

55,009 (Dec. 22, 2006)

10-14

55,146 (Jan. 22, 2007)

10-47

55,928 (June 20, 2007)

9-26

56,135 (July 26, 2007)

10-47

56,887 (Dec. 3, 2007)

9-2

56,914 (Dec. 6, 2007)

10-33, 10-34

56,994 (Dec. 19, 2007)

9-4

57,172 (Jan. 18, 2008)

10-8

58,028 (June 26, 2008)

9-25

58,028A (June 18, 2009)

9-25

58,288 (Aug. 1, 2008)

3-13, 3-40, 4-31

58,656 (Sept. 26, 2008)

10-24

60,280 (July 10, 2009)

10-17

====== T-26 ======

60,813 (Oct. 13, 2009)

9-25

61,175 (Dec. 16, 2009)

9-7, 10-9, 10-14, 10-15, 10-17

61,560 (Feb. 22, 2010)

10-47

62,495 (July 14, 2010)

10–10

62,764 (Aug. 25, 2010)

10-9, 10-8, 10-37, 10-38

62,914 (Sept. 15, 2010)

9-26

63,003 (Sept. 29, 2010)

9-7

63,031 (Oct. 4, 2010)

10-9, 10-38

63,237 (Nov. 3, 2010)

12-58

63,768 (Jan. 25, 2011)

10-19

Other Releases

Initial Decision Rel. No. 198

In re Toks Inc. (Jan. 8, 2002)

4-13

Sarbanes-Oxley Act of 2002

generally

1-2, 1-4, 1-8, 1-23, 2-13, 8-34, 9-12, 9-15, 9-21, 9-23, 10-23, 10-60, 11-21, 12-45, 12-53

§ 301

9-16

§ 302

9-17, 9-18

§ 303

9-19, 9-20, 12-54

§ 304

9-20, 9-22

§ 305

12-56

§ 306

13-25, 13-26

§ 306(a)

13-25, 13-26

§ 306(a)(4)(A)

13-26

§ 307

1-28, 1-29

§ 308

12-56

§ 401(a)

9-22

§ 401(b)

9-22

§ 401

9-22

§ 402

9-24

§ 403

13-3

§ 404

9-24, 9-26

§ 404(b)

9-26

§ 406

9-24, 9-27

§ 407

9-24, 9-27

§ 408

4-5

§ 409

9-7, 9-28, 9-29

§ 602

1-28

§ 603

12-56

§ 804

8-8, 8-34, 12-45, 12-54

§ 807

9-29, 12-5, 12-53

§ 902

12-55

§ 903

12-55

§ 906

9-17, 9-18

§ 1105

12-57

§ 1106

12-55

====== T-27 ======

Sec Rules and Regulations

Securities Act Rules

130

1-9, 4-13

133

5-26

134

3-23, 3-26, 3-33, 3-34, 3-35, 3-36, 3-45, 3-55, 3-56

134a

3-25, 3-26, 3-35, 3-45, 3-54

135

3-3, 3-15, 3-35, 3-36, 3-54

135a

3-22

135b

3-22

137

3-23, 3-26, 3-40

138

3-16, 3-22, 3-23, 3-26, 3-40, 10-7

139

3-16, 3-22, 3-23, 3-26, 3-40, 10-7

144

1-17, 6-29, 7-2, 7-4, 7-5, 7-6, 7-11, 7-12, 7-13, 7-15, 7-16, 7-18, 7-19, 7-20, 7-21, 7-23, 7-26, 9-3

144(a)

7-25

144(a)(1)

7-2

144(a)(3)

7-3

144(a)(3)(viii)

7-4

144(b)

7-17

144(c)

7-19, 9-3

144(c)(1)

7-19

144(d)

7-19

144(e)

7-20

144(f)

7-20

144(g)

7-20

144(h)(1)

7-20

144A

7-3, 7-5, 7-22, 7-23, 7-25

144A(a)(1)

7-22

144A(b)

7-22

144A(c)

7-22

144A(d)(2)

7-23

144A(d)(3)

7-22

144A(d)(4)

7-23

145

3-3, 5-26, 5-27

145(d)

5-27

147

6-16, 6-18, 6-19, 6-20, 6-32, 6-33

147(a)

6-21

147(b)

6-20

147(c)

6-19, 6-20

147(d)

6-19, 6-20

147(e)

6-20

147(f)

6-21

152

6-11, 6-16

153

3-46, 3-51, 3-52, 3-56

154

7-9, 7-11

155

6-11

159A

8-22

162

3-3

163

3-15, 3-19, 3-20, 3-23, 3-26, 3-54

163A

3-15, 3-18, 3-19, 3-54

164

3-23, 3-26, 3-31, 3-36, 3-55, 3-56

165

3-3

166

3-3

168

3-12, 3-15, 3-16, 3-17, 3-18, 3-23, 3-26, 3-30, 3-36, 3-54, 3-55, 3-56

====== T-28 ======

169

3-12, 3-15, 3-16, 3-17, 3-18, 3-19, 3-23, 3-26, 3-30, 3-36, 3-54, 3-55, 3-56

172

3-45, 4-31

173

3-45

174

3-46, 3-51, 3-52

175

8-14, 8-19

176

8-10

215

6-5, 6-24

240

6-6

242

6-6

251–263

6-22

251(a)

6-23

251(b)

6-23

251(d)

6-22

252(g)

6-22

254

6-23

262

6-23

400–94

7-2

401

4-13

401(a)

1-9

405

2-11, 3-4, 3-28, 3-40, 3-54, 4-15, 7-2

406

9-4

421(d)

10–48

424

2-21, 3-44, 3-45, 4-7

425

3-3

430

3-25

430A

2-21, 3-44, 4-7

430B

3-44, 4-7

431

3-25, 3-43, 3-46

432

3-3

433

3-23, 3-25, 3-31, 3-36, 3-38, 3-39, 3-43, 3-46

460

3-41

461

3-41, 4-9, 4-10

473

4-9, 6-22

477

4-12

498

3-25

501

6-24

502(e)

6-25, 6-28

506

6-6

943

4-8

Exchange Act Rules

9b-1

3-35

10(b)

9-12

10A-3

9-16

10b-5

1-32, 1-33, 5-16, 5-18, 5-19, 5-22, 5-25, 5-27, 6-26, 7-25, 8-6, 8-28, 8-29, 8-31, 8-33, 8-35, 9-12, 9-13, 9-25, 9-26, 9-27, 9-28, 9-29, 9-30, 10-59, 10-61, 11-20, 11-21, 11-22, 12-1, 12-2, 12-3, 12-4, 12-5, 12-6, 12-9, 12-10, 12-15, 12-16, 12-18, 12-19, 12-20, 12-21, 12-31, 12-32, 12-33, 12-37, 12-39, 12-40, 12-44, 12-45, 12-46, 12-47, 12-48, 12-52, 12-53, 12-54, 12-55, 13-2, 14-7, 14-10

10b-10

3-51

10b5-1

12-33

10b5-2

9-29

12b-20

12-34

12g-1

2-10, 9-3, 9-5

12h-1

9-3

====== T-29 ======

13a-14

9-17

13b2-2

12-54

13b2-2(b)(1)

9-20

13b2-2(b)(2)

9-20

13d-3(b)

11-14

13d-5(b)(1)

13-11

13d-5(b)(2)

13-11

13e-4(a)(4)

11-6

13e-4(f)(8)

11-5

14a-1(l)

10-6

14a-2

10-7

14a-2(a)

10-7

14a-3

10-8, 10-9

14a-4

10-6

14a-4(c)(1)

10-64

14a-6

10-5, 10-6

14a-8(a)(2)

10-62

14a-8(b)

10-32

14a-8(e)

10-32

14a-8(i)

10-32

14a-8(i)(8)

10-33, 10-34, 10-35, 10-36, 10-37

14a-8(j)

10-62

14a-8

10-6, 10-33, 10-34, 10-36, 10-37, 10-39, 10-41, 10-46, 10-62, 10-64

14a-9

10-6, 10-53, 10-54, 10-55, 10-57, 10-58, 10-59, 10-60, 12-11, 12-37

14a-9(a)

10-53

14a-11

10-6, 10-7, 10-37, 10-38, 10-39, 10-40, 10-41, 10-42, 10-43, 10-44, 10-45, 10-46, 10-62, 10-63, 10-64

14a-11(b)(10)

10-62

14a-11(e)

10-46

14a-11(g)(1)

10-64

14a-11(g)(2)

10-62, 10-63

14a-13

10-4

14a-13(a)(3)

10-63

14a-16

10-4, 10-47

14a-17

10-7

14a-18

10-39, 10-40, 10-41, 10-43

14b-1

10-4

14b-2

10-4

14c-6

10-58

14d-2(a)

11-6

14d-7

11-4

14d-8

11-5

14d-10

11-5, 11-6, 11-7

14d-10(a)(2)

11-6, 11-7

14d-10(d)(1)

11-7

14e-3

11-20

15c2-11

5-27

15c2-8

3-42, 3-51, 14-6

15c3-1

14-6

15d-14

9-17

16a-1

13-6

16a-1(a)

13-10, 13-11

16a-1(a)(1)

13-10

16a-1(a)(2)

13-10

16a-1(c)

13-17

16a-1(f)

13-5, 13-6

16a-2(a)

13-20

16a-2(b)

13-20

16a-2(c)

13-18

16a-3

13-3

16a-4

13-4

16a-8

13-10

16a-10

13-13

16b-1

13-12

16b-2

13-12

16b-3

13-4, 13-12, 13-13

16b-3(d)

13-8, 13-13

16b-4

13-12

16b-5–16b-8

13-12

16b-6

13-4, 13-17

16b-7

13-13

====== T-30 ======

17a-11

14-7

24b-2

4-30, 9-4

Regulation A

generally

6-4, 6-23, 6-28, 6-33

215

6-5, 6-24

251–63

6-22

252(g)

6-22

Regulation BTR

generally

13-26

Regulation C

generally

4-17

402

4-30

403

4-17

405

4-17, 4-18

406

4-30

408

4-18, 4-19

415

4-20, 4-22, 4-23, 4-24

415(a)(2)

4-21

415(a)(3)

4-21

415(a)(5)

4-22

421

4-29

421(d)

4-28

423

4-17

424(b)

3-53, 4-21

430B

4-23

436–39

4-30

455

4-30

473

6-22

479

4-17

Regulation CE

generally

6-29, 7-3, 7-5

1001

6-29

Regulation D

generally

1-8, 6-5, 6-6, 6-7, 6-11, 6-23, 6-24, 6-25, 6-27, 6-28, 6-32, 7-5, 7-3

501

6-24

501(a)

6-5, 6-11

502

6-24

502(d)

7-5

502(e)

6-25, 6-28

503

6-25

504

6-4, 6-6, 6-23, 6-24, 6-25, 6-26, 6-28, 6-33

504(b)(1)

7-5

505

6-4, 6-6, 6-23, 6-24, 6-25, 6-26, 6-28, 7-5

506

1-21, 6-7, 6-9, 6-24, 6-25, 6-26, 6-28, 6-29, 6-33, 7-4

====== T-31 ======

507

1-21, 6-5, 6-24, 6-25, 6-26, 6-27, 7-5

508

6-25

Regulation F

701

6-5, 6-29, 6-30, 7-5

701(c)

7-3, 7-5

701(c)(3)

7-5

801

6-30, 6-31, 7-3, 7-6

802

6-30, 6-31, 7-4, 7-6

Regulation FD

generally

9-7, 12-37

Regulation G

generally

9-23, 9-24

Regulation M

generally

4-23

104

14-12

Regulation M-A

generally

3-18, 11-9

Regulation S

generally

6-3, 6-31, 6-32

901

7-3, 7-5

903

7-3, 7-5

943

4-8

Regulation S-B

generally

4-13, 4-16, 4-17, 9-4, 9-6

Regulation S-K

generally

1-8, 4-13, 4-16, 4-17, 4-19, 9-4, 9-5, 9-6, 9-7, 9-8, 10-5, 10-14, 11-9

10

9-23

102

1-8

303

9-23

310

4-13

401

10-27

401(b)

13-6

401(f)

10-42

402

10-13

403

10-15

404(a)

10-25

====== T-32 ======

406

9-28

407

10-14, 10-25, 10-26, 10-27

407(c)

10–28

407(c)(2)(v)

10-27

407(e)

10-26

512(h)

4-10

601

9-28

Regulation S-T

generally

9-4, 10-10, 11-3

201

4-30

202

4-30

Regulation 13A

generally

9-6

Regulation 13B-2

generally

9-20

Regulation 13D-G

generally

11-3

Regulation 14A

generally

10-5, 10-53

Regulation 15D

generally

9-5

Rules of Practice

102

1-27

102(e)

1-28, 8-36

1001

8-5

Informal and Other Procedures

9

8-5, 12-43

Standards of Professional Conduct

2(e)

1-29

2(k)

1-30

3

1-29, 1-30

4

1-30

5

1-30

6

1-30

7

1-30