The 10b Series of Rules |
From inside the book
Results 1-3 of 29
Page 111
... professional standards required of public accountants who practice before the Commission . Such information indicated that Touche failed to obtain sufficient inde- pendent evidentiary material to support its professional opinion in ...
... professional standards required of public accountants who practice before the Commission . Such information indicated that Touche failed to obtain sufficient inde- pendent evidentiary material to support its professional opinion in ...
Page 120
... professional practice in compliance with paragraph B above , an investigation , which shall be conducted at the expense of Touche , shall be conducted by the Commission in accordance with methods and procedures adopted or approved by it ...
... professional practice in compliance with paragraph B above , an investigation , which shall be conducted at the expense of Touche , shall be conducted by the Commission in accordance with methods and procedures adopted or approved by it ...
Page 217
... professional recognition of significance may well be followed promptly by recommendation of the purchase or sale of the security in question , it is obviously a function of professional expertise unavailable to the normal " reason- able ...
... professional recognition of significance may well be followed promptly by recommendation of the purchase or sale of the security in question , it is obviously a function of professional expertise unavailable to the normal " reason- able ...
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