Understanding Securities Law |
From inside the book
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Page 77
... regard , the Commission's disclosure policies ... have not only had an effect of deterring unlawful or questionable conduct but have played a positive role in influencing the establishment of improved standards of conduct.37 [ B ] ...
... regard , the Commission's disclosure policies ... have not only had an effect of deterring unlawful or questionable conduct but have played a positive role in influencing the establishment of improved standards of conduct.37 [ B ] ...
Page 214
... regard to the tender offer and the reasons therefor . The SEC's tender offer rules cover a number of other matters . Rule 14d- 6 ( d ) , for instance , expressly requires an offeror to disclose promptly any material change in the ...
... regard to the tender offer and the reasons therefor . The SEC's tender offer rules cover a number of other matters . Rule 14d- 6 ( d ) , for instance , expressly requires an offeror to disclose promptly any material change in the ...
Page 237
... regard , however , counsel should be wary when the client is engaging in violations of law . Under such circumstances , counsel's rendering of substantial assistance with knowledge of the fraud ( such as the drafting by counsel of an ...
... regard , however , counsel should be wary when the client is engaging in violations of law . Under such circumstances , counsel's rendering of substantial assistance with knowledge of the fraud ( such as the drafting by counsel of an ...
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Common terms and phrases
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