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丁周煥 단국대학교 1989 論文集 Vol.23 No.-
Early applications of the rule of insider trading focused on the situation with which it was specially designed to deal in direct transactions by a company or its officers without disclosure of material favorable information about the company's affairs. In Cady, Roberts & Co. case, there are first impression and one of signal importance in the administration of the federal securities acts. In SEC v. Texas Gulf Sulphur Co., the action was commenced in the United States District Court for the Sourthern District of New York the Securities and Exchange Commission(SEC) persuant to Sec. 21(e) of the Securities Exchange Act of 1934, against Texas Gulf Sulphur Company(TGS) and several of its officers, directors and employees, to enjoin certain conduct by TGS, and the individual defendants said to violate 10(b) of the Act of 1934 and SEC Rule 10b-5 and to compel the recission by the individual defendants of scurities transactions assertedly conducted contrary to law. In SEC v. Shapiro, 494 F. 2d 1301(2d Cir. 1974), the SEC brought an action for an injunction and disorgement of profits against two partners in a firm which specialized in arranging corporate mergers and acquistions. The court held that the information possessed by defendants at the time of their purchases might have influenced a reasonable investor, and that their substantial purchases of a stock in which they had not previously invested "demonstrates empirically that the information was material." In Chiarella v. United States, Justice Powell delivered the opinion of the court. The question in this case is whether a person who learns from the confidential documents of the corporation that it is planning an attempt to secure control of a second corporation violates §10(b) of the Securities Exchange Act of 1934 if he fails to disclose the impending takeover before trading in the target companys securities. In Dirks v. SEC, the SEC began an investigation into Dirk's role in exposure of the franu. After hearing by an adminstrative law judge, the SEC found that Dirks had abetted violations of §10(b) of the Securities Exchange Act of 1934 and SEC Rule 10b-5. The SEC concluded: where tippees come into possession of material information that they know is confidentical and know or should know came from a corporate insider, they must either publicly disclose that information or retrain from trading.
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정주환 서울시립대학교 도시과학대학 세무학과 2004 稅務學論集 Vol.17 No.2
부동산 양도차익 산정방식의 문제점과 개선방안
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