The 10b Series of Rules |
From inside the book
Results 1-3 of 92
Page 114
... transactions to give the appearance of income when in fact the income from these transactions could not properly be recog- nized in 1971. Touche required USF to defer $ 13 million of profits which reduced its previously calculated ...
... transactions to give the appearance of income when in fact the income from these transactions could not properly be recog- nized in 1971. Touche required USF to defer $ 13 million of profits which reduced its previously calculated ...
Page 119
... transactions , it is not enough for auditors to accumulate documents relating to the transactions . It is critical that an analysis be made of transactions and all of their ramifications , including any involvement management or persons ...
... transactions , it is not enough for auditors to accumulate documents relating to the transactions . It is critical that an analysis be made of transactions and all of their ramifications , including any involvement management or persons ...
Page 197
... transaction . ( b ) The provisions of paragraph ( a ) shall apply if either or both the acquisition or liquidation is effected on this Exchange . ( c ) The provisions of paragraph ( a ) shall not apply to transactions made : ( 1 ) for ...
... transaction . ( b ) The provisions of paragraph ( a ) shall apply if either or both the acquisition or liquidation is effected on this Exchange . ( c ) The provisions of paragraph ( a ) shall not apply to transactions made : ( 1 ) for ...
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