The 10b Series of Rules |
From inside the book
Results 1-3 of 57
Page 27
... purchase or sale , or inducement therefore , must be crux or object of fraudulent scheme ; no 10b - 5 claim stated derivatively for company whose portfolio bonds were misappropriated by new owners and used to pay purchase price of ...
... purchase or sale , or inducement therefore , must be crux or object of fraudulent scheme ; no 10b - 5 claim stated derivatively for company whose portfolio bonds were misappropriated by new owners and used to pay purchase price of ...
Page 176
... purchase such security . The dis- tribution of a security which is immediately exchangeable for or convertible into another security or which entitles the holder immediately to acquire another security is deemed to include a ...
... purchase such security . The dis- tribution of a security which is immediately exchangeable for or convertible into another security or which entitles the holder immediately to acquire another security is deemed to include a ...
Page 196
... purchase on a " zero plus " tick if such purchase is the remainder of a block which had partially been executed on the immediately preceding sale on a " plus " tick ; or ( iii ) a purchase at a price higher than the lowest price at ...
... purchase on a " zero plus " tick if such purchase is the remainder of a block which had partially been executed on the immediately preceding sale on a " plus " tick ; or ( iii ) a purchase at a price higher than the lowest price at ...
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