The 10b Series of Rules |
From inside the book
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Page 17
... knowledge of falsity , or even constructive knowledge , as amounting to " scienter " ) . Some indication , in at least some circuits , that it is enough that the statement should have been known to be untrue , a constructive know- ledge ...
... knowledge of falsity , or even constructive knowledge , as amounting to " scienter " ) . Some indication , in at least some circuits , that it is enough that the statement should have been known to be untrue , a constructive know- ledge ...
Page 18
... Knowledge Criteria ( actual , constructive ) ; state of mind criteria ( in- tent to deceive , purpose or motive , bad faith ) ; care criteria ( recklessness , negligence ) ; and he suggests that knowledge standards are the only relevant ...
... Knowledge Criteria ( actual , constructive ) ; state of mind criteria ( in- tent to deceive , purpose or motive , bad faith ) ; care criteria ( recklessness , negligence ) ; and he suggests that knowledge standards are the only relevant ...
Page 211
... knowledge of the information should be immedi- ately free to trade thereon . C. Guidelines Relating to Waiting Periods We believe it would be appropriate for the Com- mission to establish guidelines relating to " waiting periods " to be ...
... knowledge of the information should be immedi- ately free to trade thereon . C. Guidelines Relating to Waiting Periods We believe it would be appropriate for the Com- mission to establish guidelines relating to " waiting periods " to 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