The 10b Series of Rules |
From inside the book
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Page 85
... insiders of investment com- panies from buying or selling a security which is being considered for purchase or sale , or being bought or sold , by the investment company . ( ix ) The recent White Paper on Company Law 85.
... insiders of investment com- panies from buying or selling a security which is being considered for purchase or sale , or being bought or sold , by the investment company . ( ix ) The recent White Paper on Company Law 85.
Page 128
... considered a " sale " within the purview of Section 5.6 Sec- ond , under Section 4 ( 1 ) of the 1933 Act , the recipients of this unregistered Spec- trum stock would be able to dispose of these securities , again without the filing of a ...
... considered a " sale " within the purview of Section 5.6 Sec- ond , under Section 4 ( 1 ) of the 1933 Act , the recipients of this unregistered Spec- trum stock would be able to dispose of these securities , again without the filing of a ...
Page 211
... considered to have been publicly disseminated does not mean that insiders who have had prior knowledge of the information should be immedi- ately free to trade thereon . C. Guidelines Relating to Waiting Periods We believe it would be ...
... considered to have been publicly disseminated does not mean that insiders who have had prior knowledge of the information should be immedi- ately free to trade thereon . C. Guidelines Relating to Waiting Periods We believe it would be ...
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