This page provides links to some of the legal briefs the Commission or its staff has submitted in various court actions.
| Date |
Case |
| Sep. 20, 2002 |
Securities and Exchange Commission v. ETS Payphones, Inc., and Charles E. Edwards:
Petition for Rehearing and Rehearing En Banc, addressing whether an investment is excluded from the term "investment contract" and the definition of "security" (1) because of the promoter's promise of a fixed return and (2) because the investor's return is "contractually guaranteed" by the promoter. |
| Apr. 1996 |
Patricia A. Johnson v. the Securities and Exchange Commission: Petition of the Securities and Exchange Commission for Rehearing and Suggestion for Rehearing In Banc
|
"Friend of the Court" Briefs |
| Date |
Case |
| Aug. 30, 2004 |
AIG Asian Infrastructure Fund, L.P. v. Chase Manhattan Ltd.: Amicus curiae brief addressing whether the lengthened statute of limitations in Section 804 of the Sarbanes-Oxley Act of 2002 applies to actions brought after the enactment of Sarbanes-Oxley for claims that had already lapsed under the previous limitations period.
|
| Apr. 16, 2004 |
In re WorldCom Securities Litigation (Hevesi): Amicus curiae brief addressing whether the fraud-on-the-market presumption of reliance is applicable to analysts' public material misreresentations
PDF version |
| Feb. 6, 2004 |
McKesson Corporation v. Charles W. McCall and Jay M. Lapine: Amicus curiae brief addressing whether production to the SEC during a law enforcement investigation of work product prepared during a corporation's internal investigation waives work-product protection where corporation enters into a confidentiality agreement with the SEC |
| Sep. 5, 2003 |
P. Stolz Family Partnership L.P. v. Steven B. Daum, Paula B. Daum, Philip Spies and Smart World Technologies, LLC: The Commission's amicus brief construes Section 13 of the Securities Act of 1933, the three-year period of repose to begin to run when the security is first offered to the public and also advises the Second Circuit that the period does not run when an offering is conducted as a "private" as opposed to "public" offering. |
| July 17, 2003 |
McKesson HBOC, Inc. v. Superior Court of San Francisco: Amicus curiae brief addressing whether production to the SEC during a law enforcement investigation of work product prepared during a corporation's internal investigation waives work-product protection where corporation enters into a confidentiality agreement with the SEC |
| Feb. 27, 2003 |
Levy v. Sterling Holding Co: Amicus curiae brief filed in support of the appellee's petition for rehearing, arguing that a panel of the court incorrectly construed two rules exempting transactions from Section 16(b) of the Securities Exchange Act. |
| Dec. 20, 2002 |
In re Initial Public Offering Antitrust Litigation: Memorandum Amicus Curiae Submitted at the Request of the Court. The Commission urged that alleged conduct by the underwriters of initial public offerings was immune from antitrust challenge because of the Congressionally established regulatory regime applicable to those underwritings. |
| Sep. 18, 2002 |
NASD Dispute Resolution, Inc. and New York Stock Exchange, Inc., v. Judicial Council of California, et al.: Amicus Curiae Brief Addressing Whether California's Standards for Arbitrator Disclosure and Disqualification are Preempted by Federal Law to the Extent They Apply to the Arbitration Systems of the NASD, Inc. and the New York Stock Exchange, Inc.
(Also available in PDF Format: nasddispute.pdf) |
| Jun. 21, 2002 |
Gryl v. Shire Pharmaceuticals Group: Amicus Curiae Brief, filed at the request of the court, on whether stock transactions effected as part of a merger were exempt from Section 16(b) of the Securities Exchange Act.
|
| Jan. 31, 2002 |
Camden Asset Management, L.P., et al., v. Arthur Andersen LLP et al.: Amicus Curiae Brief Addressing Why Restated Financial Statements and Report Prepared by Auditors for the Board of Directors Explaining and Summarizing the Restated Financial Statements Are Admissible Under Federal Rules of Evidence 403, 407, 803 and 807 |
| Dec. 5, 2001 |
Olmsted and Olmsted v. Pruco Life Insurance Company and Prudential Insurance Company: Amicus Curiae Brief Addressing the Availability of Rescission as a Remedy for the Charging of Excessive Fees Under the Investment Company Act. |
| Jul. 2001 |
Alan Friedman, et al. v. Salomon Smith Barney, Inc., et al.: Amicus Brief Addressing Antitrust Immunity for Certain Stabilizing Conduct by Underwriters Following Public Offerings of Securities. |
| May 31, 2001
|
McKesson HBOC Inc. and HBO & Company v. Melvin Adler: Amicus Curiae Brief Addressing Whether Production to SEC During a Law Enforcement Investigation of Work Product Prepared During a Corporation's Internal Investigation Waives Work-Product Protection Where Corporation Enters into a Confidentiality Agreement with SEC
|
| Dec. 2000 |
Cendant Corp. Litig, New York City Pension Funds: Amicus Curiae Brief in Support of Appellants on the Issues Specified |
| Feb. 2000 |
Raymond Moore; et al. v. United States District Court of the Northern District of California, Respondent, Network Associates, Inc., et al., Real Parties in Interest: Amicus Curiae Brief in Support of Real Party in Interest Vatuone on the Issue Specified |
| Nov. 12, 1999 |
Frank W. Knisley, et al., v. Network Associates, Inc., et al.: Amicus Curiae Brief Addressing the Referral Fee Provision of the Private Securities Litigation Reform Act |
| Aug. 25, 1999 |
Ari Parnes, James Field, and Charles D. Chalmers, et al., v. Digital Lightwave, Inc., et al.: Amicus Curiae Brief Addressing the Role of the Lead Plaintiff Under the Private Securities Litigation Reform Act and Its Effect on the Consideration of a Proposed Settlement and Fee Award |
| May 18, 1999 |
Robin Switzenbaum, et al., v. Orbital Sciences Corporation, David R. Thompson, and Jeffrey V. Pirone: Amicus Curiae Brief Addressing Issues Under the Lead Plaintiff Provisions of the Private Securities Litigation Reform Act |
| Apr. 28, 1999 |
In Re the Baan Company Securities Litigation (Laure Salerno, on behalf of herself and all others similarly situated v. Baan Company, N.V., et al.: Amicus Curiae Brief Addressing Issues Under the Lead Plaintiff Provisions of the Private Securities Litigation Reform Act |
| Mar. 19, 1999 |
Dorothy D. Bragdon, on behalf of herself and all others similarly situated, Plaintiffs v. Telxon Corporation, et al.: Amicus Curiae Brief Addressing Appointment of Lead Plaintiff and Multiple Lead Counsel Under the Private Securities Litigation Reform Act |
| Dec. 4, 1998 |
Milestone Scientific (Securities Litigation); Amicus Curiae Brief Addressing Appointment of Multiple Lead Counsel Under the Litigation Reform Act
Accompanying Litigation Release – lr15991.txt |
| Oct. 29, 1998 |
Laperriere V. Vesta Insurance Group, Inc. Amicus Curiae Brief Addressing Issues Under the Lead Plaintiff Provisions of the Litigation Reform Act
Table of Contents/Table of Authorities –vestatbl.txt |
| Apr. 1998 |
Klein v. Boyd: Brief of the Securities and Exchange Commission, Amicus Curiae; klein.pdf (use Adobe Acrobat® to view the PDF file) |
| Mar. 1997 |
Silicon Graphics, Inc.: Brief of the Securities and Exchange Commission, Amicus Curiae |
| Sep. 1996 |
United States of America v. James Herman O'Hagan: Brief of the Securities and Exchange Commission, Amicus Curiae |
| May 1996 |
Alan Richards, et al., and John Norton, et al., v. Lloyd's of London, et al.: Brief of the Securities and Exchange Commission, Amicus Curiae |
