The 10b Series of Rules |
From inside the book
Results 1-3 of 40
Page 73
... results of past operations , of future prospects , and of current develop ments and problems . 18. This program ... resulting from such items as reductions in earnings due to lower selling prices and higher start- up costs ; a summary of ...
... results of past operations , of future prospects , and of current develop ments and problems . 18. This program ... resulting from such items as reductions in earnings due to lower selling prices and higher start- up costs ; a summary of ...
Page 112
... result that our economy as a whole may suffer . By the acceptance of this consent , which includes the following findings describing the facts and auditing deficiencies discovered as a result of our staff investigation , the Commission ...
... result that our economy as a whole may suffer . By the acceptance of this consent , which includes the following findings describing the facts and auditing deficiencies discovered as a result of our staff investigation , the Commission ...
Page 121
... result , within twelve ( 12 ) months from the date of such engagement , in filings , submissions , or certifications with the Com- mission until the Chief Accountant of the Commission is satisfied that adequate audit guides and programs ...
... result , within twelve ( 12 ) months from the date of such engagement , in filings , submissions , or certifications with the Com- mission until the Chief Accountant of the Commission is satisfied that adequate audit guides and programs ...
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