The 10b Series of Rules |
From inside the book
Results 1-3 of 37
Page 23
... Buyer - Seller requirement , ( ii ) the " in connection with " requirement and ( iii ) the " mismanagement " exception . While these limitations cannot be universally related to attempts to preclude the Rule from common law or state ...
... Buyer - Seller requirement , ( ii ) the " in connection with " requirement and ( iii ) the " mismanagement " exception . While these limitations cannot be universally related to attempts to preclude the Rule from common law or state ...
Page 38
... buyer from bank ; alleges failure to give notice of sale ( required by pledge agreement ) , and sale at fraction of true value ( known to bank and buyer , who were in conspiracy ) ; pledgor stood to gain or lose directly by the sale ...
... buyer from bank ; alleges failure to give notice of sale ( required by pledge agreement ) , and sale at fraction of true value ( known to bank and buyer , who were in conspiracy ) ; pledgor stood to gain or lose directly by the sale ...
Page 40
... buyer of 500 outstanding shares lacks 10b - 5 standing to sue for frus- tration of his efforts by issuer's president's letter to shareholders falsely stating acquisition negotiations and book value . However , with respect to another ...
... buyer of 500 outstanding shares lacks 10b - 5 standing to sue for frus- tration of his efforts by issuer's president's letter to shareholders falsely stating acquisition negotiations and book value . However , with respect to another ...
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