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10 Bull. Sec. Corp. Banking & Bus. L. 1 (1971-1972)

handle is hein.journals/txjbus10 and id is 1 raw text is: RI0 Volume 10 NOVEMBER 1971 No. 1 COMMITTEE CHAIRMEN The following is a list of the Committee Chairmen of the Section on Corporation, Banking and Business Law of the State Bar of Texas for 1971-72: Uniform Commercial Code Committee Millard Ruud, Chairman University of Texas, School of Law 2500 Red River Austin, Texas 78705 Banking Laws Committee Carroll B. Wheeler, Chairman Wheeler, Watkins, Hubbard, Patton & Peek 700 Texarkana National Bank Buildnig P.O. Box 1987 Texarkana, Texas 75501 Antitrust Matters Committee F. W. Barnett, Chairman Baker & Botts One Shell Plaza Houston, Texas 77002 Bankruptcy & Reorganization Committee Ben M. Gilbert, Chairman 1214 W. T. Waggoner Building Fort Worth, Texas 76102 Revision of Corporation Law Committee James H. Kerr, Jr., Chairman Fulbright, Crooker & Jaworski Bank of the Southwest Building Houston, Texas 77002 Securities Committee Richard D. Haynes, Chairman LTV Tower Dallas, Texas Information Committee Marjorie Z. Caldwell, Chairwoman Vinson, Elkins, Searls & Smith 2100 First City National Bank Building Houston, Texas 77002 Co-Board Advisors Edgar H. Keltner, Jr. Fort Worth, Texas Walter H. Magee Dallas, Texas APPLICATION OF FEDERAL AND STATE SECURITY REGULATIONS TO REAL ESTATE TRANSACTIONS By WILLIAM B. WHARTON*t The purpose of this paper is to acquaint the reader with the Federal Securities Act and a typical state securities Blue Sky Law and some of the types of transactions which fall within the statutory purview and which are of concern to the federal or state securities commissions. The scope of this paper, therefore, shall be directed toward the types of transactions, schemes, or plans which have been alleged to be within the definition of a security within the applicable state or federal law, and a brief summary of what constitutes a violation thereof and penalty therefor. The paper shall not concern itself with statutory exemptions which might have applied had proper steps been taken nor shall the very complex and myriad problems of the registration process itself be discussed. * B.S., Missouri State Teachers College, J.D., University of Missouri, Candidate, S.J.D., The National Law Center, George Washington University, Assistant Professor of Law, South Texas College of Law. t Reprinted in part with the kind permission of Mr. William B. Wharton. The article appears in its entirety in THE SOUTH TEXAS LAW JOURNAL, volume 12, number 3. BULLETIN OF THE SECTION ON CORPORATION, BANKING & BUSINESS LAW

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