chp 18

Week Seven Assignments.html

Objectives-Chapter 18 

7.1  Define a Security and list its elements.

7.2  Identify and list the legal requirements for companies that issue securities.  

7.3  Identify and discuss the steps for trading securities and the regulations that apply to securities trading, to include the regulation of the stock market, the traders and the investors.

7.4  Define securities fraud and list its the elements.

7.5   List the provisions of the Sarbanes-Oxley Act and how it changed the way boards of directors for companies did business.  

7.6  Define insider trading and identify and list the penalties for being found guilty of it.  

This module aligns well with general objectives 1, 2, 3, 4, 5 and 7.

Important case for Chapter 18-United States v. Salman. This is a good discussion of what constitutes insider trading.

Todd v. Exxon, Corp. This case is another good discussion of the Sherman Act, but in this situation, employees sued several big oil companies saying they were conspiring to hold down salaries of managerial, professional and technical employees. 

Readings

Read Chapter Eighteen

Assignments

Chapter 18 Assignment

On page 453 of your text, do case question #7 - City of Philadelphia v. Fleming Co., 264 F3d 1245, 10th Cir. (2001)  

In this case the court discusses in detail what a plaintiff in a securities fraud case has to show in order to prevail.  What evidence is required in order to show that the defendant "deliberately" made misleading statements or omissions to potential stockholders.   

Be sure to review the rubric for this assignment.  Chapter 18 Rubric

Also, complete the Discussion Board, which is a discussion of your favorite topic or chapter in this course. See the discussion board instructions.  Review the Discussion Rubric before you join the Discussion Board.  Discussion Rubric

Submission Instructions

• The Chapter 18 assignment has a due date. The due date for Chapter 18 is Aug 1st will not accept it late.
• Be sure to upload your files into the appropriate Dropbox.  You can access the dropboxes by going to Tasks in the top menu bar and selecting Dropboxes from the dropdown menu.