Securities Regulation in Japan

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University of Washington Press, 2018. 3. 5. - 139ÆäÀÌÁö

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A Short Survey on the Development Process of
1
I
3
Early Stage of Development under
10
X
27
Major Reforms of the 1976 Amendments in
92
An Introductory Note Coverage
115
Regulation of the Distribution
120
Exemption from Registration Requirement
131
Civil Liability
146
Special Problems of Forced Going Public
161
Regulation of Securities Exchange
171
164
220
Regulation of Trading in Securities Two
286
Toward an Efficiently Functioning Securities
391
Recent Developments
425
Table of Cases
491

II
140

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212 ÆäÀÌÁö - ... (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
116 ÆäÀÌÁö - security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in general, any interest or instrument commonly known as a "security...
366 ÆäÀÌÁö - For the purpose of preventing the unfair use of information which may have been obtained by such beneficial owner, director, or officer by reason of his relationship to the issuer...
116 ÆäÀÌÁö - ... or, in general, any interest or instrument commonly known as a security, or any certificate of interest or participation in, any...
206 ÆäÀÌÁö - To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered, any manipulative or deceptive device or contrivance in contravention of such rules and regulations as the commission may prescribe as necessary or appropriate in the public interest or for the protection of investors.
133 ÆäÀÌÁö - ... protect investors by promoting full disclosure of information thought necessary to informed investment decisions" and held that "the applicability of section 4(1) should turn on whether the particular class of persons affected need the protection of the act.
206 ÆäÀÌÁö - No member or employee shall sell a security which he does not own, or the sale of which is consummated by the delivery of a security borrowed by or for such member's or employee's account.

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