Securities Regulation & Law Report Index-Summary

JAPAN

– Banking

– – Financial Services Agency announces financial system health measures, 458
– – Rescue plans, Congressional Oversight Panel takes testimony about previous crises in Japan, 493

– Credit ratings, government empowered to inspect, supervise, and require registration of rating agencies, 1162
– Financial instruments, FSA releases English translation of guidelines on supervision, 773
– FSA leadership, new commissioner promises forward-looking approach, 1404
– Going concern, disclosure conditions relaxed, 587
– Institutional investors, new rules encouraging disclosure of voting information likely, 909
– Stock purchase and government credit advanced as part of stimulus policy moves, 560

JOURNAL

– Blogs related to securities law, 71; 686; 950; 1042; 1287; 1647
– List of upcoming conferences and meetings, 71; 143; 326; 439; 539; 685; 949; 1041; 1131; 1286; 1338; 1603; 1646; 1710; 1763; 1914

JURIES

– Partial verdict with shared essential factual elements, retrial allowed (U.S., oral arg), 585; factual conclusions may not be drawn from jury inaction (rvs and rem), 1148

JURISDICTION

– Appeals do not strip court of jurisdiction (9th Cir.), 1674
– Arbitration, attorney representing member firm in FINRA action properly sanctioned for copying inadvertently disclosed privileged material (Cal. Ct. App.), 227
– Attorney must face claims re role in sale of unregistered securities (D. Ariz.), 675
– Auction rate securities buybacks, nonqualifying investor claim transferred (S.D. Tex.), 1575
– Canadian shipping company, crucial activities in U.S. confer jurisdiction (11th Cir.), 1526
– Corporate citizenship, size of operations in state determines citizenship for diversity jurisdiction (U.S., rev grant), 1119
– Executive compensation suit does not present federal question (E.D. Mo.), 1459
– Foreign-cubed securities claim, brief from Solicitor General invited (U.S., rev sought), 1055
– Forex fraud did not involve options, CFTC did not have power to bring action (9th Cir.), 1501
– Forum selection clause upheld despite investor claims of lack of notice (Cal. Ct. App.), 228
– International actions, jurisdictional issues will be increasingly significant, officials tell conferees, 397
– Investment banking, claims against Stifel, Nicolaus by school district remanded to state court (E.D. Wis.), 771
– Israel, failure to allege share purchase on U.S. stock exchange dooms claim (N.D. Cal.), 1057
– Receivership, investors may appeal without intervening (7th Cir.), 513
– Removal jurisdiction

See REMOVAL JURISDICTION

– Stock exchange attorney fee shifting, member fails to exhaust administrative remedies, claim dismissed (3d Cir.), 1573
– Subprime mortgage trusts, investor suit over modified loans remanded to state court (S.D.N.Y.), 1570
– Venue, medical transcription, phony billing scheme suit transferred (S.D.N.Y.), 1426

JUSTICE DEPARTMENT (DOJ)

– Appointments, Complex Frauds Unit, Bansal and Kolodner named chiefs of unit, Federal Brief, 1946
– Auto parts company, DOJ drops fraud case (S.D.N.Y.), 49
– Economic crimes, Dorgan (D-ND) and Cantwell (D-Wash) call on DOJ to assemble task force for systemic probe, 530
– Fake promissory notes, DOJ brings superseding indictment against lawyer for fraud (S.D.N.Y.), 509; 20-year sentence handed down, 1355; attorney disbarred, 1903
– Father and daughter running children's internet software concern indicted in fraud scheme (N.D. Cal.), 1450
– Fifth Amendment, invocation in joint SEC/DOJ actions, Analysis and Perspective, 574
– Fraud task force being considered, Holder tells appropriations hearing, 754
– Funding for additional enforcement personnel, Schumer (D-NY) and Shelby (R-Ala) to introduce bill, 105
– Insider trading

– – Innovative investigational techniques cited in charges re global scheme (S.D.N.Y.), 204
– – International Securities Exchange merger, vice chair sentenced (S.D.N.Y.), 16

– Loan guarantees, official charged in scheme to help friend defraud lenders (N.D. Cal.), 564
– Parallel proceedings, SEC initiatives to encourage individual cooperation will not hinder DOJ efforts, officials say, 1890
– Pyramid scheme, fake commodity pool operator charged with wire and mail fraud (D. Minn.), 234; guilty plea entered, 734
– Stock loan scheme, executive convicted for kickbacks disguised as finders fees (E.D.N.Y.), 564
– Stock price manipulation, boiler room managers face civil and criminal claims (S.D.N.Y.), 1313