The 10b Series of Rules |
From inside the book
Results 1-3 of 18
Page 114
... Touche's 1971 audit of USF should have caused it to approach the audit with the highest degree of skepticism . In October 1971 , at the time Touche was prepared to commence the audit , Touche was terminated by USF , which then engaged ...
... Touche's 1971 audit of USF should have caused it to approach the audit with the highest degree of skepticism . In October 1971 , at the time Touche was prepared to commence the audit , Touche was terminated by USF , which then engaged ...
Page 116
33-5459 In connection with Touche's audit of the CLC transaction , Touche made extensive inquiries as to the source of CLC's $ 1.9 million down payment because of the following concerns Touche had regarding CLC's affiliates ' other ...
33-5459 In connection with Touche's audit of the CLC transaction , Touche made extensive inquiries as to the source of CLC's $ 1.9 million down payment because of the following concerns Touche had regarding CLC's affiliates ' other ...
Page 120
... Touche offices under the control and supervision of Touche's national staff to evaluate and ensure the quality of the audit engagements of such offices . C. In order to ascertain that Touche is conducting its professional practice in ...
... Touche offices under the control and supervision of Touche's national staff to evaluate and ensure the quality of the audit engagements of such offices . C. In order to ascertain that Touche is conducting its professional practice in ...
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