| Contacting Shareholders of Publicly Traded Companies |
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| Publicly traded companies are required to provide a process for contacting their shareholders in certain circumstances. The Securities and Exchange Commission has issued rules requiring companies to provide a way to contact shareholders as part of a solicitation of proxies or shareholder votes in opposition to company proposals or in favor of proposals put forward by shareholders. Companies also are required by the Commission to provide a way to contact shareholders in connection with a tender offer by which the company's shareholders are invited to sell their shares.More... |
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| Insurance Law |
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| (Variable Annuities)More... |
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| Rulemaking by the Securities and Exchange Commission |
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| Federal agencies adopt rules to implement laws. Following the stock market crash in 1929, laws were passed to reform securities markets and to broaden the amount and accuracy of information to be made available to investors by issuers of securities. Those laws included the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. The more recently enacted Sarbanes-Oxley Act of 2002 provided additional requirements for corporate governance and disclosure of information.More... |
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| Anti-Competitive Discrimination By Sellers Under the Clayton Act |
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| The federal Clayton Act contains prohibitions against various specific anti-competitive practices and is designed to supplement the broad prohibitions of the Sherman Act against anti-competitive agreements and monopolization. Section 2 of the Clayton Act, 15 U.S.C.S. § 13, as amended by the Robinson-Patman Act, specifically prohibits discrimination in the price of commodities or in commissions, allowances, services, or facilities if such discrimination is anti-competitive. More... |
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| Closed-End Funds |
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| The three basic types of investment companies regulated under the Investment Company Act of 1940 are closed-end funds, mutual funds, and unit investment trusts. Closed-end funds must be registered with the Securities and Exchange Commission. Such funds are regulated under the Investment Company Act of 1940 and are subject to the Securities Act of 1933 and the Securities Exchange Act of 1934. Regulations have been issued by the Securities and Exchange Commission to govern the operation of closed-end funds.More... |
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