The 10b Series of Rules |
From inside the book
Results 1-3 of 87
Page 126
... securities laws based on failure to dem- onstrate a propensity for future viola- tions . Securities Act of 1933 , §§ 5 , 17 ( a ) , 15 U.S.C.A. §§ 77e , 77q ( a ) ; Se- curities Exchange Act of 1934 , § 10 ( b ) , 15 U.S.C.A. § 78j ( b ) ...
... securities laws based on failure to dem- onstrate a propensity for future viola- tions . Securities Act of 1933 , §§ 5 , 17 ( a ) , 15 U.S.C.A. §§ 77e , 77q ( a ) ; Se- curities Exchange Act of 1934 , § 10 ( b ) , 15 U.S.C.A. § 78j ( b ) ...
Page 182
... securities being distributed by underwriters or other dealers may once again be involved in the distribution and thus subject to Rule 10b - 6 . Covering Over - Allotments . Syndicate may create short position by sell- ing more securities ...
... securities being distributed by underwriters or other dealers may once again be involved in the distribution and thus subject to Rule 10b - 6 . Covering Over - Allotments . Syndicate may create short position by sell- ing more securities ...
Page 235
... ( Securities Act Release No. 5223 ) , as amended ( Securities Act Release No. 5307 and Securities Act Release No. 5452 ) ; 2. Rule 145 under the Act ( Securities Act Release No. 5316 ) ; 3. Adoption of Form S - 16 under the Act for securities ...
... ( Securities Act Release No. 5223 ) , as amended ( Securities Act Release No. 5307 and Securities Act Release No. 5452 ) ; 2. Rule 145 under the Act ( Securities Act Release No. 5316 ) ; 3. Adoption of Form S - 16 under the Act for securities ...
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