The 10b Series of Rules |
From inside the book
Results 1-3 of 31
Page 82
... duty to disclose ; absent that special relationship there is no duty to disclose outside information . Essentially , there appears to be three alternatives : ( a ) parity , ( b ) fairness , and ( c ) fiduciary duty or special - relation ...
... duty to disclose ; absent that special relationship there is no duty to disclose outside information . Essentially , there appears to be three alternatives : ( a ) parity , ( b ) fairness , and ( c ) fiduciary duty or special - relation ...
Page 109
... duty to the public In the Matter of McKesson & Robbins , Inc. , SEC Accounting Series Release No. 19 ( 1940 ) C. Lawyer as Advocate and as Counsellor - To whom is duty owed ? when to client and when to investing public ? ABA Code of ...
... duty to the public In the Matter of McKesson & Robbins , Inc. , SEC Accounting Series Release No. 19 ( 1940 ) C. Lawyer as Advocate and as Counsellor - To whom is duty owed ? when to client and when to investing public ? ABA Code of ...
Page 145
... duty " test . 1 . 2 . 3 . 4 . Rejects the distinction between " primary " and " secondary " liability for 10b - 5 5 ... Duty " approach to professional liability is consistent with SEC views and may enjoy increasing acceptance by the ...
... duty " test . 1 . 2 . 3 . 4 . Rejects the distinction between " primary " and " secondary " liability for 10b - 5 5 ... Duty " approach to professional liability is consistent with SEC views and may enjoy increasing acceptance by the ...
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