The 10b Series of Rules |
From inside the book
Results 1-3 of 20
Page 14
... limited to situa- tions where a special relationship ( eg . trustees , professionals such as accountants ) was deemed to create a due care duty . Liability for innocent misrepresentation was generally limited to situations involving ...
... limited to situa- tions where a special relationship ( eg . trustees , professionals such as accountants ) was deemed to create a due care duty . Liability for innocent misrepresentation was generally limited to situations involving ...
Page 54
... Limited partnerships • ( A ) Limited partnership prospectuses often contain language like this : " ( i ) limited partners have the right . to bring partnership class actions and derivative actions in the Federal courts . . . and ( ii ) ...
... Limited partnerships • ( A ) Limited partnership prospectuses often contain language like this : " ( i ) limited partners have the right . to bring partnership class actions and derivative actions in the Federal courts . . . and ( ii ) ...
Page 164
... limited in the case of an offering statement to the extent of the securities sold , and in other cases ( unless the plaintiff proves actual knowledge or belief of falsity and intent to deceive ) the greatest of ( A ) $ 100,000 , ( B ) ...
... limited in the case of an offering statement to the extent of the securities sold , and in other cases ( unless the plaintiff proves actual knowledge or belief of falsity and intent to deceive ) the greatest of ( A ) $ 100,000 , ( B ) ...
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