SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Side 80
... addition , as part of his violative conduct , Busch effected transactions of purchase and sale of listed options for the accounts of certain customers , which transactions were excessive in size and frequency in view of the financial ...
... addition , as part of his violative conduct , Busch effected transactions of purchase and sale of listed options for the accounts of certain customers , which transactions were excessive in size and frequency in view of the financial ...
Side 170
... addition to the entry of the Court's Consent Orders with respect to further viola- tions of the anti - fraud provisons of the Exchange Act , certain equitable relief was ordered by the Court . In this regard , certain partners and ...
... addition to the entry of the Court's Consent Orders with respect to further viola- tions of the anti - fraud provisons of the Exchange Act , certain equitable relief was ordered by the Court . In this regard , certain partners and ...
Side 209
... addition , Bartels agreed and undertook to file a Schedule 13D containing all of the infor- mation required by Section 13D of the Exchange Act . 4. SEC v . C & R Clothiers , Inc. , Civil Action No. 80-2517 ( DDC Oct. 2 , 1980 ) The ...
... addition , Bartels agreed and undertook to file a Schedule 13D containing all of the infor- mation required by Section 13D of the Exchange Act . 4. SEC v . C & R Clothiers , Inc. , Civil Action No. 80-2517 ( DDC Oct. 2 , 1980 ) The ...
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Responsibilities of Lawyers in Connection with | 21 |
Recent SEC Pronouncements Concerning a Broker | 33 |
Lauzon Inc Securities Exchange | 35 |
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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