SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
Inni boken
Resultat 1-3 av 82
Side 142
... judgment finding that there were three viable theories under which a judgment could be found against him . First , the Court found that under In re Dirks , Lund owed a duty as a tippee " not to use what he knew to be non - public ...
... judgment finding that there were three viable theories under which a judgment could be found against him . First , the Court found that under In re Dirks , Lund owed a duty as a tippee " not to use what he knew to be non - public ...
Side 230
... Judgment of Permanent Injunction and Other Equitable Relief , restraining and enjoining them from further violations of the anti - fraud , beneficial ownership , and certain of the reporting provisions of the Exchange Act . The Final ...
... Judgment of Permanent Injunction and Other Equitable Relief , restraining and enjoining them from further violations of the anti - fraud , beneficial ownership , and certain of the reporting provisions of the Exchange Act . The Final ...
Side 472
... judgment to estop the other unless both parties were bound by the original judgment . This doctrine confined the use of collateral estoppel to situations in which the parties to the second action had been parties or privies to the first ...
... judgment to estop the other unless both parties were bound by the original judgment . This doctrine confined the use of collateral estoppel to situations in which the parties to the second action had been parties or privies to the first ...
Innhold
Responsibilities of Lawyers in Connection with | 21 |
Recent SEC Pronouncements Concerning a Broker | 33 |
Lauzon Inc Securities Exchange | 35 |
Opphavsrett | |
18 andre deler vises ikke
Vanlige uttrykk og setninger
2d Cir accounts Act and Rule administrative proceedings admitting or denying agency amendment antifraud associated broker broker-dealer cert Chiarella Civil Action client collateral estoppel Commission's Complaint alleges common stock compliance conduct confidential consented Corp corporate counsel criminal defendants denying the allegations directors disclosure disgorgement District Court employees enforcement enjoining federal securities laws filed Final Judgment firm fraud grand jury inside information insider trading investigation investors issue issuer Judgments of Permanent lawyer liability litigation material non-public information ment Merrill Lynch misappropriation officers options Parklane Hosiery Parklane Hosiery Co party Permanent Injunction person plaintiff possession of material procedures profits provisions proxy purchase pursuant Rule 2(e Schedule 13D scienter SEC's Second Circuit Section 10(b Securities Act Securities Exchange Act shareholders shares statements supervision Supp supra note tender offer Tennenbaum thereunder tion tippee transactions Transfer Binder United States Attorney work-product doctrine