Supreme Court Moot: Janus v. First Derivative Traders

November 29, 2010 • 12:15 PM • Law School 3041

David C. Frederick, Counsel of Record for the Respondent, moots this upcoming case, which is scheduled to be argued before the U.S. Supreme Court on December 7, 2010. At issue is (1) whether a mutual fund's investment advisor can be held primarily liable under Section 10(b) and Rule 10b-5 for having "made" false or misleading statements or omissions in the mutual fund's prospectus, and (2) whether the reliance element of a private 10(b) action - i.e., whether investors relied on statements by the investment advisor - can be satisfied when the prospectus does not expressly attribute the statements to the advisor.
Sponsored by the Program in Public Law. This is a closed event. Attendance is limited to Duke Law faculty, students, and staff only. For more information, please contact Dana Norvell at