The 10b Series of Rules |
From inside the book
Results 1-3 of 21
Page 233
... exemption under Section 4 ( 2 ) of the Act . It also has been argued that the private offering exemption can be established where it is represented that the securities are held for investment , where resale is restricted , and where the ...
... exemption under Section 4 ( 2 ) of the Act . It also has been argued that the private offering exemption can be established where it is represented that the securities are held for investment , where resale is restricted , and where the ...
Page 246
... exemption from the anti - fraud provisions of the securities laws or the civil liabilities provisions of Section 12 ( 2 ) of the Act or other provisions of the securities laws . In addition , investment companies or persons acting on ...
... exemption from the anti - fraud provisions of the securities laws or the civil liabilities provisions of Section 12 ( 2 ) of the Act or other provisions of the securities laws . In addition , investment companies or persons acting on ...
Page 248
... exemption provided by Section 4 ( 2 ) of the Act is not available for such transactions . Issuers wanting to rely on that exemption may do so by complying with administrative and judicial interpretations in effect at the time of the ...
... exemption provided by Section 4 ( 2 ) of the Act is not available for such transactions . Issuers wanting to rely on that exemption may do so by complying with administrative and judicial interpretations in effect at the time of 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