The 10b Series of Rules |
From inside the book
Results 1-3 of 38
Page 21
... Reasonable Investor " Reasonable ? 72 Columbia Law Review 562 ( 1963 ) Some courts emphasize " material- ity " almost as substitute for reliance and emphasize generally that alleged defect be important " to a reasonable investor " . See ...
... Reasonable Investor " Reasonable ? 72 Columbia Law Review 562 ( 1963 ) Some courts emphasize " material- ity " almost as substitute for reliance and emphasize generally that alleged defect be important " to a reasonable investor " . See ...
Page 93
... reasonable ground to believe , that the fact is generally available or ( 2 ) , if the buyer , seller , or holder ( or his agent in the transaction ) is identified , ( A ) the insider believes , and has reasonable ground to believe ...
... reasonable ground to believe , that the fact is generally available or ( 2 ) , if the buyer , seller , or holder ( or his agent in the transaction ) is identified , ( A ) the insider believes , and has reasonable ground to believe ...
Page 234
... reasonable inquiry , shall have reasonable grounds to believe and shall believe either that the offeree himself has the requisite knowledge and experience , or that the offeree and his offeree representative ( s ) have such knowledge ...
... reasonable inquiry , shall have reasonable grounds to believe and shall believe either that the offeree himself has the requisite knowledge and experience , or that the offeree and his offeree representative ( s ) have such knowledge ...
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