The 10b Series of Rules |
From inside the book
Results 1-3 of 26
Page 32
... Loss has suggested that the limita- tions period contained in Section 29 ( two years ) of the 1934 Act be applied by analogy . See Loss , A Rationale of Rule 10b - 5 , in PLI , Second Annual Institute on Securities Regulation ...
... Loss has suggested that the limita- tions period contained in Section 29 ( two years ) of the 1934 Act be applied by analogy . See Loss , A Rationale of Rule 10b - 5 , in PLI , Second Annual Institute on Securities Regulation ...
Page 64
... loss in discontinuance of sales finance business for quarter ended November 1968 -- announced January 1969 simultaneous announcement that sales finance business being discontinued anticipated loss on disposition of uncollected paper ...
... loss in discontinuance of sales finance business for quarter ended November 1968 -- announced January 1969 simultaneous announcement that sales finance business being discontinued anticipated loss on disposition of uncollected paper ...
Page 121
... ( loss ) is materially derived from real estate development , or sales , including financing related thereto , " is defined to mean any client at least twenty - five ( 25 ) percent of whose gross revenues or pre - tax net profits ( losses ) ...
... ( loss ) is materially derived from real estate development , or sales , including financing related thereto , " is defined to mean any client at least twenty - five ( 25 ) percent of whose gross revenues or pre - tax net profits ( losses ) ...
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