RESEARCH REPORT
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SEC v. Otis & Co., 18 F. Supp. 100 (N.D. Ohio 1936) A.T. Brod & Co. v. Perlow, 375 F.2d 393 (2d Cir. 1967) Mutual Shares Corp. v. Genesco, Inc. 384 F.2d 540 (2d Cir. ) Lewis v. Bogin, CCH Fed. Sec. L. Rep. 93341(S.D.N.Y. 1972) Bosche v. Louart Corp., CCH Fed. Sec. L. Rep. 92231(N.D. 1968) Britt v. Cyril Bath Co., 417 F.2d 433 (6 th Cir. 1969) Puharich v. Borders Electronics Co., CCH Fed. Sec. L. Rep. 92141(S.D.N.Y. 1968) 9
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30 Thornton & Co., 28 S.E.C. 208, aff d, 171 F.2d 702 (2d Cir. 1948) 13
In the Matter of Meehan, 2 S.E.C. 588 (1937) In the Matter of Merrill,8 S.E.C. 620 (1941) In the Matter of Russell Maguire &Co., Inc., 10 S.E.C. 332 (1941) In the Matter of Meehan, 2 S.E.C. 588 (1937) SEC v. Torr, 22 F. Supp. 602 (S.D.N.Y. 1938) In re Kidder Peabody & Co., 18 S.E.C. 559 (1945) Note, Regulation of Stock Market Manipulation, 56 Yale L. J. 509 (1947) SEC v. Torr, 22 F. Supp. 602 (S.D.N.Y. 1938) 14
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20a 1 1 1 20a 1 1 2 3 1 Ziouvas, Dimitris:Das neue Recht gegen Kurs-und Marktpreismanipulation im 4.Finanzmarktförderungsgesetz,ZGR 2003,S.139. 16
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2003 11 6 20a 18
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25 20 25 50 closed period 23
2000 292 24
.L. 1999 132133 25
http://www.sec.gov/answers/shortrestrict.htm. 38 Piper v. Chris-Craft430 U.S.1(1977). 26
Schreiber v. Burlington472 U.S.1(1985). 27
a. b. c. 28
12 1 12 2 12 1 29
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199665 2005 4 33
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2004 107 39
2005 4 40
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1999 6 45
FSA 46
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3 51
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3 53
4 30 25% 54
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23Steve Thel, the Mechanics of Securities Manipulation, 79 Cornell L Rev. 219, 1994. 24Technical Committee of the International Organization of Securities CommissionsMay 2000Investigating And Prosecuting Market Manipulation, http://www.iosco.org/pubdocs/pdf/ioscopd103.pdf. 25Lewis D.Lowenfels:Sections9 (a) (1) and9 (a) (2) of the Securities Exchange Act of 1934: An Analysis of Two Important Anti-manipulative Provisions under the Federal Securities Laws, 85 Nw.U.L.Rev.698 26Daniel.R. Fischel and David J. Ross Should the Law Prohibit "Manipulation" in Financial Markets? 105 Harv. L. Rev. 503. 27Technical Committee of the International Organization of Securities Commissions Objectives and Principles of Securities Regulation http://www.iosco.org/pubdocs/pdf/ioscopd154.pdf. 56