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Securities Regulation Keyed to Coffee
Securities and Exchange Commission v. Chinese Consolidated Benevolent Association, Inc
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*Case Brief Anatomy includes: Brief Prologue, Complete Case Brief, Brief Epilogue
- The Brief Prologue provides necessary case brief introductory information and includes:
- Topic: Identifies the topic of law and where this case fits within your course outline.
- Parties: Identifies the cast of characters involved in the case.
- Procedural Posture & History: Shares the case history with how lower courts have ruled on the matter.
- Case Key Terms, Acts, Doctrines, etc.: A case specific Legal Term Dictionary.
- Case Doctrines, Acts, Statutes, Amendments and Treatises: Identifies and Defines Legal Authority used in this case.
- The Case Brief is the complete case summarized and authored in the traditional Law School I.R.A.C. format. The Pro case brief includes:
- Brief Facts: A Synopsis of the Facts of the case.
- Rule of Law: Identifies the Legal Principle the Court used in deciding the case.
- Facts: What are the factual circumstances that gave rise to the civil or criminal case? What is the relationship of the Parties that are involved in the case. Review the Facts of this case here:
A group of Chinese Americans (Chinese Consolidated Benevolent Association, Inc.) solicited funds from the Chinese American community, using the money received to buy bonds from the Chinese government. The Chinese government did not approve the Association to do so and therefore the Association received no payment. The Association did not register the bonds with the Securities and Exchange Commission (Plaintiff) and so the SEC requested the actions of the Association cease. § 5 of the Securities Act of 1933 states that it is unlawful for an issuer, underwriter or dealer to utilize any mode of interstate commerce or communication to participate in selling unregistered securities. Due to the district court finding that the Association was not an underwriter, issuer or dealer, it was exempt from §5.
- Issue(s): Lists the Questions of Law that are raised by the Facts of the case.
- Holding: Shares the Court's answer to the legal questions raised in the issue.
- Concurring / Dissenting Opinions: Includes valuable concurring or dissenting opinions and their key points.
- Reasoning and Analysis: Identifies the chain of argument(s) which led the judges to rule as they did.
- The Brief Prologue closes the case brief with important forward-looking discussion and includes:
- Policy: Identifies the Policy if any that has been established by the case.
- Court Direction: Shares where the Court went from here for this case.