The 10b Series of Rules |
From inside the book
Results 1-3 of 12
Page 88
... determination by the courts the application of Rule 10b - 5 to quasi - insiders . III . Tipping . The Companies Bill prohibits tipping by insiders and trading by tippees . A tippee is defined as a person who obtains information ...
... determination by the courts the application of Rule 10b - 5 to quasi - insiders . III . Tipping . The Companies Bill prohibits tipping by insiders and trading by tippees . A tippee is defined as a person who obtains information ...
Page 211
... determination that such information has been publicly disseminated . ( g ) For the reasons indicated in Subsection C below , the fact that information is considered to have been publicly disseminated does not mean that insiders who have ...
... determination that such information has been publicly disseminated . ( g ) For the reasons indicated in Subsection C below , the fact that information is considered to have been publicly disseminated does not mean that insiders who have ...
Page 220
... determination of a fair price " in a market transaction , and that no information will normally be more material to achievement of equality in informed decision - making than information with respect to factors affecting supply and ...
... determination of a fair price " in a market transaction , and that no information will normally be more material to achievement of equality in informed decision - making than information with respect to factors affecting supply and ...
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