The 10b Series of Rules |
From inside the book
Results 1-3 of 37
Page 15
... matter obviously related to ) both causation and materiality . The damage can be caused by some- thing other than the misrepresen- tation and reliance ( eg . general severe market slide ) . Where action is taken by a plaintiff and an ...
... matter obviously related to ) both causation and materiality . The damage can be caused by some- thing other than the misrepresen- tation and reliance ( eg . general severe market slide ) . Where action is taken by a plaintiff and an ...
Page 110
... Matter of Emanuel Fieds Securities Act Release No. 5404 ( June 18 , 1973 ) 2. A223untants Touche , Ross & Co. , supra .; In the Matter of Laventhal , Kreckstein , Horwath & Horwath , SEC Accounting Series Release No. 144 ( May 23 , 1973 ) ...
... Matter of Emanuel Fieds Securities Act Release No. 5404 ( June 18 , 1973 ) 2. A223untants Touche , Ross & Co. , supra .; In the Matter of Laventhal , Kreckstein , Horwath & Horwath , SEC Accounting Series Release No. 144 ( May 23 , 1973 ) ...
Page 124
33-5459 12 / In the Matter of McKesson & Robbins , Inc. , Accounting Series Release No. 19 ( 1940 ) . 13 / In the ... matters that have aroused questions in his mind , particularly when those explanations come from persons who could have ...
33-5459 12 / In the Matter of McKesson & Robbins , Inc. , Accounting Series Release No. 19 ( 1940 ) . 13 / In the ... matters that have aroused questions in his mind , particularly when those explanations come from persons who could have ...
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