The 10b Series of Rules |
From inside the book
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Page 93
... specified in this clause as if he were specified in clause ( 1 ) , ( 2 ) , or ( 3 ) . [ " Fact of special significance . " ] A fact of special significance if ( 1 ) in addition to being material it would be likely on being made ...
... specified in this clause as if he were specified in clause ( 1 ) , ( 2 ) , or ( 3 ) . [ " Fact of special significance . " ] A fact of special significance if ( 1 ) in addition to being material it would be likely on being made ...
Page 236
... specified relative of such person or a trust or organization with which such person and / or such relative has a specified relationship ) ( subdivision ( i ) ) ; has such knowledge and experience in financial and business matters that ...
... specified relative of such person or a trust or organization with which such person and / or such relative has a specified relationship ) ( subdivision ( i ) ) ; has such knowledge and experience in financial and business matters that ...
Page 255
... specified in subdivision ( g ) ( 2 ) ( i ) ( a ) or ( c ) collectively have 100 percent of the beneficial interest ( excluding contingent interests ) ; ( c ) any corporation or other organization of which a purchaser or any of the ...
... specified in subdivision ( g ) ( 2 ) ( i ) ( a ) or ( c ) collectively have 100 percent of the beneficial interest ( excluding contingent interests ) ; ( c ) any corporation or other organization of which a purchaser or any of the ...
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