The 10b Series of Rules |
From inside the book
Results 1-3 of 22
Page 238
... pursuant to the Rule . If there were offers or sales during the six month periods before or after the offering pursuant to the Rule , the traditional integration factors set forth in Preliminary Note 3 would have to be looked to for ...
... pursuant to the Rule . If there were offers or sales during the six month periods before or after the offering pursuant to the Rule , the traditional integration factors set forth in Preliminary Note 3 would have to be looked to for ...
Page 251
... pursuant to the exemptions provided by Section 3 or Section 4 ( 2 ) of the Act or pursuant to a registration statement filed under the Act , that take place prior to the six month period immediately preceding or after the six month ...
... pursuant to the exemptions provided by Section 3 or Section 4 ( 2 ) of the Act or pursuant to a registration statement filed under the Act , that take place prior to the six month period immediately preceding or after the six month ...
Page 254
... pursuant to subparagraph ( e ) ( 1 ) above ; and ( 3 ) The issuer or any person acting on its behalf shall disclose to each offeree , in writing , prior to sale : ( i ) any material relationship between his offeree representative ( s ) ...
... pursuant to subparagraph ( e ) ( 1 ) above ; and ( 3 ) The issuer or any person acting on its behalf shall disclose to each offeree , in writing , prior to sale : ( i ) any material relationship between his offeree representative ( s ) ...
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