Commodities Regulation: Fraud, Manipulation, and Other Claims (Vols. 13 and 13A, Securities Law Series)

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Protect your clients and yourself from investment fraud claims. Learn how to draft documents and safeguard client confidentiality. In-depth coverage addresses specific types of fraud and manipulation and includes guidance for avoiding potential commodity problems.

Features

Antifraud standards under the Commodity Exchange Act: Scope and Scienter requirements
Secondary liability
Risk disclosures, suitability, churning, and unauthorized trading
Prohibited trading practices and manipulation
Forums for resolving disputes: arbitration, reparations, and court actions
CTFC and Exchange investigations and disciplinary proceedings

Summary of contents
Replacement pages

Volume 13
- Part I: Antifraud Standards Under the Commodity Exchange Act: Scope and Scienter Requirements
  Chapter
  1. Antifraud Provisions of Section 4b of the Commodity Exchange Act
  2. Additional Fraud Provisions
  3. Scienter Requirements
- Part II: Secondary Liability
  1. Secondary Liability: Agency and Controlling Persons
  2. Secondary Liability: Aiding and Abetting
  3. Supervision and Fiduciary Duty
- Part III: Risk Disclosures, Suitability, Churning, and Unauthorized Trading
  1. Fraud Claims: Misrepresentations
  2. Disclosure of the Mechanics of Trading, Lulling, and Other Disclosure Issues
  3. Risk Disclosure Statements
Volume 13A
- Part III: Risk Disclosures, Suitability, Churning, and Unauthorized Trading—continued
  1. Suitability
  2. Churning
  3. Unauthorized Trading
- Part V: Prohibited Trading Practices and Manipulation
  1. Fictitious Transactions, Wash Sales, and Other Prohibited Trading Practices: Background
  2. Post-1974 Cases: Tax Straddles, Fictitious Trades, Wash Sales, Accommodation Trades, Order Allocations
  3. Manipulation: Pre-CFTC Authority
  4. Decisions on Manipulation After 1974
  5. Actions Against Exchanges, Antitrust Issues, Primary Jurisdiction, Class Actions
- Part V: Miscellaneous Claims
  1. Margin and Other Claims Under the Commodity Exchange Act
  2. Arbitration of Commodity Exchange Act Claims
  3. Reparations Proceedings
  4. Private Rights of actions in Federal Courts
  5. CFTC Investigations
  6. CFTC Disciplinary Proceedings
  7. CFTC Disciplinary Cases
  8. CFTC Injuctive Actions
  9. Disciplinary Actions by the Exchanges and the NFA
  10. Regulation of Derivative Financial Instrument

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