The 10b Series of Rules |
From inside the book
Results 1-3 of 26
Page 126
... Regulation 179 Affidavits and depositions , on mo- tion for preliminary relief in suit by Se- curities and Exchange Commission to enjoin future violations of securities laws by , among others , attorney who al- legedly prepared opinion ...
... Regulation 179 Affidavits and depositions , on mo- tion for preliminary relief in suit by Se- curities and Exchange Commission to enjoin future violations of securities laws by , among others , attorney who al- legedly prepared opinion ...
Page 171
... REGULATION , 1595-1604 ( 2d ed . 1961 ) ; 6 L. Loss , SECURITIES REGULATION , 3765-3777 ( Supp . 1969 ) . Note , The SEC's Rule 10b - 6 : Preserving a Competitive Market During Distributions , 1967 Duke L. J. 809 . Weiss , REGISTRATION ...
... REGULATION , 1595-1604 ( 2d ed . 1961 ) ; 6 L. Loss , SECURITIES REGULATION , 3765-3777 ( Supp . 1969 ) . Note , The SEC's Rule 10b - 6 : Preserving a Competitive Market During Distributions , 1967 Duke L. J. 809 . Weiss , REGISTRATION ...
Page 202
... Regulation ) Securities and Exchange Commission 500 North Capitol Street Washington , D. C. 20549 Dear Sir : Your Reference : October 15 , 1973 File No. S7-491 ( Securities Exchange Act Release No. 10316 The comments contained herein ...
... Regulation ) Securities and Exchange Commission 500 North Capitol Street Washington , D. C. 20549 Dear Sir : Your Reference : October 15 , 1973 File No. S7-491 ( Securities Exchange Act Release No. 10316 The comments contained herein ...
Common terms and phrases
2d Cir 7th Cir affiliates American Stock Exchange anti-fraud apply audit broker broker-dealer Bromberg buyer CCH Fed cert Chris-Craft Industries civil liability client Companies Bill connection Corp corporate court dealer deceptive derivative suit directors disclose disclosure dissemination distribution effect equity Exchange Act Release Exchange Commission exemption F.Supp fact filed financial community fraud Gardner Grubb & Ellis guidelines injunctive relief insider insider trading interest investors involving issuer limited Marder market information market maker material information ment merger Monsanto's offeree representative opinion letter person acting plaintiff professional provisions public offering pursuant reasonable registration statement relationship Rule sale of securities Schiffman scienter Section 4(2 Securities Act Release Securities and Exchange Securities Exchange Act securities laws securities transactions sell seller shareholders shares shelf registration sold specified standard subparagraph Supp supra Texas Gulf Sulphur tion tippee Touche Touche's trading trans underwriter undisclosed unregistered USF's violation