The Broadened Scope of Rule 1Ob-5: Analysis and Implications for Participants in the Securities Markets

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S.E.C., C.F.R. section 240.14e-3 (1983).

S.E.C., C.F.R., Rule X-lOb-5, Employment of Manipulative and Deceptive Devices, Exchange Act Release 3230, eff. 5/21/42.

S.E.C. v. Materia, 745 F. 2d 197 (2d Cir. 1984) cert. denied, 104 S. Ct. 199 (1983).

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Shapiro, 495 F.2d 228 (2d Cir. 1974).

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U.S. Law Week, 55 LW3424, 12/16/86.

U.S. v. Newman, 664, F. 2d 12 (2d Cir. 1981), cert. denied, 104 S. Ct. 199 (1983).

U.S. v. Peltz, 433 F. 2d 48 (2d Cir. 1970).

U.S. v. Winans,--Fed. Supp-, Federal Securities Law Reports, CCH, 91, 425, (July 3, 1985), (S.D.N.Y., No. SS 84 Cr. 605, 1985).

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