Banks and the Securities Laws, 1979 |
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Page 505
... violations of the periodic reporting , proxy solicitation and antifraud provisions of the Federal securities laws ; John K. Tull ( " Tull " ) , former president and director of Mercantile , from vio- lations of the periodic reporting ...
... violations of the periodic reporting , proxy solicitation and antifraud provisions of the Federal securities laws ; John K. Tull ( " Tull " ) , former president and director of Mercantile , from vio- lations of the periodic reporting ...
Page 662
... violations of Sections 10 ( b ) and 13 ( a ) of the Exchange Act , [ 15 U.S.C. 78j ( b ) and 78m ( a ) ) , and Rules 10b - 5 , 12b - 20 , 13a - 1 and 13a - 11 , [ 17 CFR 240.10b - 5 , 12b - 20 , 13a - 1 and 13a - 11 ] , promulgated ...
... violations of Sections 10 ( b ) and 13 ( a ) of the Exchange Act , [ 15 U.S.C. 78j ( b ) and 78m ( a ) ) , and Rules 10b - 5 , 12b - 20 , 13a - 1 and 13a - 11 , [ 17 CFR 240.10b - 5 , 12b - 20 , 13a - 1 and 13a - 11 ] , promulgated ...
Page 690
... violated and aided and abetted violations of Section 14 ( a ) of the Exchange Act [ 15 U.S.C. 78n ( a ) ] and Rule 14a - 9 [ 17 CFR 240.14a - 9 ] thereunder . 120 . By reason of certain of the activities described in paragraphs 1 ...
... violated and aided and abetted violations of Section 14 ( a ) of the Exchange Act [ 15 U.S.C. 78n ( a ) ] and Rule 14a - 9 [ 17 CFR 240.14a - 9 ] thereunder . 120 . By reason of certain of the activities described in paragraphs 1 ...
Contents
Prepared for distribution at | 7 |
B Final Regulation | 25 |
FDIC Proposed Regulations to Implement | 57 |
Copyright | |
5 other sections not shown
Common terms and phrases
account at Calhoun action affiliate agencies aggregate amended amount appropriate assets bank holding company Bank of Georgia bank's Board of Directors capital and surplus Code Comptroller Coolidge corporation December December 31 deposit depository holding company depository institution described in paragraphs disclose disclosure employees executive officers extension of credit FDIC Federal Reserve Act Federal Reserve System filed financial statements fiscal furnished Glass-Steagall Act Gleason income income statement Instruction insured bank investment company issuer Item Lance Lance's lending limit liabilities loan loss management official material fact member bank ment Mercantile National Bank NBG's offering statement overdrafts participation payment period person principal shareholder prior proposed proxy soliciting proxy statement purchase purposes pursuant registration statement regulation related interests relationship remuneration respect rules schedule section 22 security holders soliciting materials specified subsidiaries thereunder tion transactions violations voting