The 10b Series of Rules |
From inside the book
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Page 178
... underwriter . Participating Dealers . ( a ) The Rule states that restrictions apply to dealers when ( 1 ) they have agreed to participate in the distribution , i.e. when they have signed a dealer agree- ment , or ( 11 ) prior thereto ...
... underwriter . Participating Dealers . ( a ) The Rule states that restrictions apply to dealers when ( 1 ) they have agreed to participate in the distribution , i.e. when they have signed a dealer agree- ment , or ( 11 ) prior thereto ...
Page 179
... underwriter , among underwriters , and between underwriters and members of the dealer group . ( Exception ( 1 ) ) ( b ) Offers to sell or the solicitation of offers to buy the securities being distributed or securities offered as ...
... underwriter , among underwriters , and between underwriters and members of the dealer group . ( Exception ( 1 ) ) ( b ) Offers to sell or the solicitation of offers to buy the securities being distributed or securities offered as ...
Page 182
... underwriter have been applied against short , and ( iii ) over - allotment option has been either used or effectively terminated . See Securities Exchange Act Release No. 3506 ( 1943 ) . 3. Sticky Issues . If issue is " sticky " and ...
... underwriter have been applied against short , and ( iii ) over - allotment option has been either used or effectively terminated . See Securities Exchange Act Release No. 3506 ( 1943 ) . 3. Sticky Issues . If issue is " sticky " and ...
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