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Publication Date

7-2014

Document Type

Survey Article

Abstract

This Article examines significant cases originating in the United States Court of Appeals for the Eleventh Circuit during 2012 and 2013 under the Securities Act of 1933 (the Securities Act or 1933 Act), the Securities Exchange Act of 1934 (the Exchange Act or 1934 Act), and the rules promulgated thereunder. In particular, Part I of this Article addresses a recent decision involving alleged material misstatements in connection with an initial public offering. Part II analyzes a recent case addressing the loss-causation element of a claim of fraud under United States securities law, namely, under § 10(b)r of the Exchange Act and Exchange Act Rule 10b-5 (Rule 10b-5). Finally, Part III surveys two recent cases involving the materiality element in the Securities and Exchange Commission (SEC) enforcement cases involving alleged violations of § 10(b) and Rule 10b-5.

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