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The United States Law on Stock Market Insider Trading and Tipping

Nihon University Comparative Law, Vol. 26, p. 107, 2009

Posted: 19 Sep 2010  

William K. S. Wang

University of California, Hastings College of the Law

Date Written: 2009

Abstract

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, K22

Suggested Citation

Wang, William K. S., The United States Law on Stock Market Insider Trading and Tipping (2009). Nihon University Comparative Law, Vol. 26, p. 107, 2009. Available at SSRN: https://ssrn.com/abstract=1679169

William Kai-Sheng Wang (Contact Author)

University of California, Hastings College of the Law ( email )

200 McAllister Street
San Francisco, CA 94102
United States

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