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首页> 外文期刊>Securities Regulation Law Journal >District Court Weighs Novel Theories of Rule 10b-5 Liability in Mutual Fund Market Timing Litigation
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District Court Weighs Novel Theories of Rule 10b-5 Liability in Mutual Fund Market Timing Litigation

机译：地方法院权衡共同基金市场时间诉讼中规则10b-5的新颖理论

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摘要

On September 3, 2003, New York Attorney General Eliot Spitzer announced his investigation of market timing and late trading in mutual funds. The investigation centered around allegations that several mutual funds permitted market timing and late trading by hedge funds, in contravention of the mutual funds' prospectuses and to the detriment of the funds' long-term shareholders. In the wake of Mr. Spitzer's investigation, the Securities and Exchange Commission and various state attorneys general have, to date, settled fraud cases with over 35 mutual funds, hedge funds and financial institutions for an aggregate amount in excess of $3.2 billion.
机译：2003年9月3日，纽约州总检察长艾略特·斯皮策（Eliot Spitzer）宣布了他对市场时机和共同基金延迟交易的调查。该调查主要围绕以下指控：几只共同基金违反对冲基金的招股说明书和损害其长期股东的利益，允许对冲基金进行市场时机和后期交易。在Spitzer先生进行调查之后，美国证券交易委员会（Securities and Exchange Commission）和各州总检察长迄今已与超过35个共同基金，对冲基金和金融机构达成了欺诈案，总金额超过32亿美元。

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