The 10b Series of Rules |
From inside the book
Results 1-3 of 42
Page 117
... respects by USF's management in the course of the 1970 and 1971 audits , Touche's failure in a number of respects to ... respect to ] examinations for corporations whose securities are held by the public , accountants can be expected to ...
... respects by USF's management in the course of the 1970 and 1971 audits , Touche's failure in a number of respects to ... respect to ] examinations for corporations whose securities are held by the public , accountants can be expected to ...
Page 203
... respect to appropriateness or inappro- priateness of official guidelines , or the ultimate conclusions of the Staff ard the Commission in that regard , to be con- strued as detracting from an on - going shared concern with prevention of ...
... respect to appropriateness or inappro- priateness of official guidelines , or the ultimate conclusions of the Staff ard the Commission in that regard , to be con- strued as detracting from an on - going shared concern with prevention of ...
Page 236
... respect to Rules 144 and 147 , that this Rule is not available to any issuer with respect to any transactions which , although in technical compliance with the Rule , are part of a plan or scheme to evade the registration provisions of ...
... respect to Rules 144 and 147 , that this Rule is not available to any issuer with respect to any transactions which , although in technical compliance with the Rule , are part of a plan or scheme to evade the registration provisions of ...
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