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Sample Case Study Paper on Discussion Questions 1 & 2

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Sample Case Study Paper on Discussion Questions 1 & 2


General Provision



The securities act of 1933 provides a rule that a security cannot in any way be sold or offered to the public without being registered by the SEC. such a registration however does not indicate that SEC has approved the issue, but its main purpose is to help the public in making better and educational decisions in regards to purchasing a security.


·         Issuer

·         Underwriter

Violation of the securities act of 1933 renders one a 5 year jail term, a $10,000 or at times booth of the penalties are applied.


Sec 11

Section 11 of the securities act of 1933 provides a rule that holds issuers liable in the case of statements of registration, which include untrue statements of fact materials. Under the section, a security purchaser can launch a suit, given a scenario where he purchased the security after the initial offering, given the market is a secondary market.


·         Issuer

·         Underwriter

A lawsuit on the issuer or underwriter.






Sec 12(a)(2)

This section ensures there’s creation of liability for any individuals selling or offering a security through an oral communication, which contains omission, and is liable for rescission in the case the purchaser is not aware of the omissions or misstatements during the securities purchase.



·         Purchaser

·         Issuer

Lawsuit by the purchaser to recover from the seller.







































General Provision

Write Provision / Rule

Who are likely defendants?

Penalties for Violation

Reporting Requirements


1. The SEC 1934 provision is to regulate the securities transaction within the secondary market, which mainly include sale of securities after the initial offer by an issuer.

2. Such transactions normally occur between parties in contrast to the normal issuer, normally executed by brokers.

3. Regulation of publicly held companies

·         Brokerage Firms


·         Damages imposition amounting to three times the loss avoided or profits gained

·         Not more than $1,000,000 fine



Sec 16(b)


Under this section of the SEC, description of the many regulatory filings are stated, with the responsibilities that need to be met by the directors, officers and the main principle shareholders.


·         Directors

·         Officers

·         Principle shareholders

·         Damages imposition amounting to three times the loss avoided or profits gained

·         Not more than $1,000,000 fine


Sec 10 b, Rule 10b5

This section lays the provision of statutory weapon in the fight against fraud, with the rule under this section 10b-5 being the rule set to prohibit any use of device scheme to defraud or create liability in regards to any omission of material facts that is important when selling or buying a security.

·         Brokers

·         Dealers

·         Damages imposition amounting to three times the loss avoided or profits gained

·         Not more than $1,000,000 fine





Critical Thinking Question
Question 1:

The misappropriation in this case will not apply given the individual defrauded the bank into giving him a loan. In such a case, the law as set out would indicate that the proceeds accumulated from the malefactor, indifference to the use of securities transactions, given the fraud would have been done as soon as the cash had been obtained. In simple terms, the cash acquired can purchase anything, if not a couple of things, thus its misappropriation can be viewed as sufficiently detached from the previous securities transacted that the section 10(b) mentioned, in clear connection of the requirements that need to be met.

Question 2:

In any case, the fiduciary discloses information to a source in which he/she plans to trade with, there cannot be any deceptive device and as such there will be no violation of the section 10(b). The requirements within the section 10(b) in regards to the misappropriator’s ill use of information, in relation to the sale or purchase of securities is totally satisfactory with the theory of misappropriation, given that the fraud committed by the fiduciary is consummated, and not in the case where he acquires the confidential information in regards to selling or purchasing the securities. As such, there’s breach of coincided duty, given the individual defrauded does not belong to the party of trade, as such the nonpublic disclosure of information is clearly unethical.  



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