Understanding Securities Law |
From inside the book
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Page 10
... practices to the standards prescribed in the law and the Commission's regulations for the protection of investors ( as well as to the fair trade practice rules of their association ) ; in addition , . . . they may violate these ...
... practices to the standards prescribed in the law and the Commission's regulations for the protection of investors ( as well as to the fair trade practice rules of their association ) ; in addition , . . . they may violate these ...
Page 268
... practice or act , and upon a proper showing , an injunction or restraining order shall be granted without bond . The statute also authorizes the SEC to transmit evidence concerning such practices or acts to the Attorney General who may ...
... practice or act , and upon a proper showing , an injunction or restraining order shall be granted without bond . The statute also authorizes the SEC to transmit evidence concerning such practices or acts to the Attorney General who may ...
Page 272
... Practices Act . See Foreign Corrupt Practices Act ( FCPA ) . Section 13 ( d ) Requires any person ( or group ) who acquires , either directly or indirectly , a greater than five percent beneficial ownership interest in any equity ...
... Practices Act . See Foreign Corrupt Practices Act ( FCPA ) . Section 13 ( d ) Requires any person ( or group ) who acquires , either directly or indirectly , a greater than five percent beneficial ownership interest in any equity ...
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2d Cir 7th Cir accredited investors Act registration affiliates amended apply BarChris broker-dealers brokers business judgment rule Commission conduct Congress context controlling person Corp corporate damages dealer decision defense directors disclosure system discussed distribution due diligence effective enforcement exemption from registration federal securities laws filing fraud Hence infra injunction insider trading integrated disclosure interest investment investors issue issuer liability limited material merger Moreover non-affiliates offeror pari delicto permitted plaintiff post-effective period pre-filing private right prohibits promulgated provides proxy public offering purchase registered offering registration statement Regulation D reliance remedy resale restricted securities right of action S.Ct safe harbor Schedule 13D scienter SEC Rule SEC's Section 10(b Section 11 Securities Act Release Securities Exchange Act sell seller shareholders shares Shelf Registration solicitation standard statute statutory Steinberg subpoena Supp supra note Supreme Court takeover target tender offer tion Transfer Binder underwriter violation Williams Act