The 10b Series of Rules |
From inside the book
Results 1-3 of 47
Page 87
... insider is connected if the insider has information which is not generally available but , if it were , would be likely materially to affect the price of those securities . I. Who is an Insider . Insider is defined in the Companies Bill ...
... insider is connected if the insider has information which is not generally available but , if it were , would be likely materially to affect the price of those securities . I. Who is an Insider . Insider is defined in the Companies Bill ...
Page 88
... insider and knows that the insider is such and at the time of obtaining the information was a relative or business associate of the insider or had an arrangement with the insider to obtain inside information for the purpose of trading ...
... insider and knows that the insider is such and at the time of obtaining the information was a relative or business associate of the insider or had an arrangement with the insider to obtain inside information for the purpose of trading ...
Page 93
... insider to sell , buy , or induce the holding of a security of the issuer , if he knows a fact of special significance with respect to the issuer or the security that is not generally available , unless ( 1 ) the insider believes , and ...
... insider to sell , buy , or induce the holding of a security of the issuer , if he knows a fact of special significance with respect to the issuer or the security that is not generally available , unless ( 1 ) the insider believes , 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