The 10b Series of Rules |
From inside the book
Results 1-3 of 22
Page 187
... York and American Stock Exchanges have been filed with the SEC and are effective . Accordingly , such distributions are not subject to Rule 10b - 2 . D. 1 . 2 . Block Trading Mechanics . An institution wishes to sell a large block of a ...
... York and American Stock Exchanges have been filed with the SEC and are effective . Accordingly , such distributions are not subject to Rule 10b - 2 . D. 1 . 2 . Block Trading Mechanics . An institution wishes to sell a large block of a ...
Page 201
... York Life ins Co. 51 Madison Ave New York , NY 10010 VICE - CHAIRMAN John J Creedon One Madison Ave New York , NY 10010 SECRETARY William E Hogan Myron Taylor Rail Cornell Univ Law School Ithaca , NY 14850 SECTION DELEGATE TO HOUSE OF ...
... York Life ins Co. 51 Madison Ave New York , NY 10010 VICE - CHAIRMAN John J Creedon One Madison Ave New York , NY 10010 SECRETARY William E Hogan Myron Taylor Rail Cornell Univ Law School Ithaca , NY 14850 SECTION DELEGATE TO HOUSE OF ...
Page 247
... York Corp. v . Freeman , 448 F. 2d 680 ( 5th Cir . 1971 ) . Securities Act Release No. 5121 ( December 30 , 1970 ) ; United States v . Custer Channel Wing , 376 F. 2d 675 ( 4th Cir . 1967 ) . 6 / 7 / Issued November 6 , 1962 . Rule 146 ...
... York Corp. v . Freeman , 448 F. 2d 680 ( 5th Cir . 1971 ) . Securities Act Release No. 5121 ( December 30 , 1970 ) ; United States v . Custer Channel Wing , 376 F. 2d 675 ( 4th Cir . 1967 ) . 6 / 7 / Issued November 6 , 1962 . Rule 146 ...
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