The 10b Series of Rules |
From inside the book
Results 1-3 of 38
Page 152
... provisions and rules as may be applicable , for fear of missing a nuance here or there . And this is aside from the fraud provision in §206 of the Investment Advisers Act , as well as a number of provisions on touting , manipula- tion ...
... provisions and rules as may be applicable , for fear of missing a nuance here or there . And this is aside from the fraud provision in §206 of the Investment Advisers Act , as well as a number of provisions on touting , manipula- tion ...
Page 156
... provisions : There are separate provisions on churning ( $ 1306 ) , touting ( §1307 ) , manipulation ( $ 1308 ) , and stabilization ( §1309 ) . Particularly in the last two areas , the scheme of the draft is to codify basic principles ...
... provisions : There are separate provisions on churning ( $ 1306 ) , touting ( §1307 ) , manipulation ( $ 1308 ) , and stabilization ( §1309 ) . Particularly in the last two areas , the scheme of the draft is to codify basic principles ...
Page 246
... provisions of the Rule , is part of a plan or scheme to evade the registration provisions of the Act . In such case , registration is required . Rule 146 relates to transactions exempted by Section 4 ( 2 ) of the Act from the ...
... provisions of the Rule , is part of a plan or scheme to evade the registration provisions of the Act . In such case , registration is required . Rule 146 relates to transactions exempted by Section 4 ( 2 ) of the Act from the ...
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