The 10b Series of Rules |
From inside the book
Results 1-3 of 16
Page 93
... addition to being material it would be likely on being made generally available to affect the market price of a security to a significant extent , or ( 2 ) a reasonable per- son would attach decisive importance to it in de- termining ...
... addition to being material it would be likely on being made generally available to affect the market price of a security to a significant extent , or ( 2 ) a reasonable per- son would attach decisive importance to it in de- termining ...
Page 130
... addition - it contained the names of those shareholders , men- tioned only as a group by Berger , who could sell their Spectrum stock in a transaction exempt from the registra- tion requirement of Section 5. Al- though Schiffman's ...
... addition - it contained the names of those shareholders , men- tioned only as a group by Berger , who could sell their Spectrum stock in a transaction exempt from the registra- tion requirement of Section 5. Al- though Schiffman's ...
Page 240
... addition , the offeree or his offeree representative must have available to him the opportunity to obtain any additional information necessary to verify the accuracy of the information obtained pursuant to subparagraph ( e ) ( 1 ) to ...
... addition , the offeree or his offeree representative must have available to him the opportunity to obtain any additional information necessary to verify the accuracy of the information obtained pursuant to subparagraph ( e ) ( 1 ) to ...
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