The 10b Series of Rules |
From inside the book
Results 1-3 of 36
Page 17
... ment . -- Virtual elimination of the intent to defraud requirement , so that knowledge that the statement was untrue becomes enough . See eg . , SEC v . Capi- tal Gains Research Bureau , Inc ... ment of actual knowledge require- ment ( 17.
... ment . -- Virtual elimination of the intent to defraud requirement , so that knowledge that the statement was untrue becomes enough . See eg . , SEC v . Capi- tal Gains Research Bureau , Inc ... ment of actual knowledge require- ment ( 17.
Page 18
5.3.4 . -- ment of actual knowledge require- ment ( defendants thought that false impression had been correct- ed ) ; but Shemtob v . Shearson Hamill , 448 F.2d 442 ( 2d Cir . 1971 ) , dismissed a " garden variety " customer's suit stat ...
5.3.4 . -- ment of actual knowledge require- ment ( defendants thought that false impression had been correct- ed ) ; but Shemtob v . Shearson Hamill , 448 F.2d 442 ( 2d Cir . 1971 ) , dismissed a " garden variety " customer's suit stat ...
Page 50
... ment or assumption of purchase price ( 1 ) Dasho v . Susquehanna Corp. , 4.1 above , later appear 461 F.2d 11 , CCH 193 , 342 ( 7th Cir . 1972 ) ( 2 ) Herpich v . Wallace , 430 F.2d 792 , CCH 192 , 714 ( 5th Cir . 1970 ) ; Herpich v ...
... ment or assumption of purchase price ( 1 ) Dasho v . Susquehanna Corp. , 4.1 above , later appear 461 F.2d 11 , CCH 193 , 342 ( 7th Cir . 1972 ) ( 2 ) Herpich v . Wallace , 430 F.2d 792 , CCH 192 , 714 ( 5th Cir . 1970 ) ; Herpich v ...
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