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Capital Markets, Derivatives, and the LawPositivity and Preparation$
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Alan N. Rechtschaffen

Print publication date: 2019

Print ISBN-13: 9780190879631

Published to Oxford Scholarship Online: May 2019

DOI: 10.1093/oso/9780190879631.001.0001

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PRINTED FROM OXFORD SCHOLARSHIP ONLINE (oxford.universitypressscholarship.com). (c) Copyright Oxford University Press, 2020. All Rights Reserved. An individual user may print out a PDF of a single chapter of a monograph in OSO for personal use. date: 21 October 2020

Litigation Issues

Litigation Issues

(p.423) 19 Litigation Issues
Capital Markets, Derivatives, and the Law

Alan N. Rechtschaffen

Oxford University Press

Losses in capital markets inevitably lead to litigation. In the trading context, liability stems from the nature of the relationship of the parties involved in a particular transaction. The plaintiff in litigation will look to common law as well as to the federal securities and commodity laws to find a violation that might support a private cause of action. This chapter discusses federal securities law, common law theories, and state “Blue Sky Laws.” Topics covered include the Securities Exchange Act of 1934, Securities Act of 1933, liability under the Commodity Exchange Act, breach of fiduciary duty, common law fraud, shingle theory, tort theory, and contract theory.

Keywords:   litigation, capital markets, federal securities law, common law, Blue Sky Laws, liability

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