The United States Law on Stock Market Insider Trading and Tipping
William K. S. Wang
University of California, Hastings College of the Law
Nihon University Comparative Law, Vol. 26, p. 107, 2009
This article is based on a lecture at Nihon College of Law in Tokyo and draws on William K.S. Wang & Marc I. Steinberg, Insider Trading (Oxford University Press 3d ed. 2010); and William K.S. Wang, Stock Market Insider Trading: Victims, Violators, and Remedies–Including an Analogy to Fraud in the Sale of a Used Car with a Generic Defect, 45 Villanova Law Review 27 (2000).
The article briefly discusses Rule 14e-3, the Rule 10b-5 classical relationship theory, the Rule 10b-5 misappropriation doctrine, the Rule 10b-5 liability of tippers and tippees, Rule 10b5-1, Rule 10b5-2, and Regulation FD.
Keywords: Insider Trading, Classical Relationship, Misappropriation, Tipper, Tippee, 10b5-1, 10b5-2, Regulation FD, 10b-5, 14e-3
JEL Classification: G18, G28, G38, K13, K14, K22working papers series
Date posted: September 19, 2010
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