SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Side 453
An Advanced Seminar. In the context of agency personnel appearing before grand juries as assist- ants to the prosecution , the logical interpretive question under Rule 6 ( e ) became whether agency personnel are " attorneys for the ...
An Advanced Seminar. In the context of agency personnel appearing before grand juries as assist- ants to the prosecution , the logical interpretive question under Rule 6 ( e ) became whether agency personnel are " attorneys for the ...
Side 464
... agency . Agency personnel assigned to investigate possible civil or adminstrative violations should not be as- signed to assist prosecutors and grand juries unless civil actions have been concluded " or a determination made not to ...
... agency . Agency personnel assigned to investigate possible civil or adminstrative violations should not be as- signed to assist prosecutors and grand juries unless civil actions have been concluded " or a determination made not to ...
Side 465
... agency person- nel need not be authorized to receive , or maintain at the agency's offices , documents subpoenaed in the name of or received by the grand jury , tran- scripts of statements made before the grand jury , or notes thereof ...
... agency person- nel need not be authorized to receive , or maintain at the agency's offices , documents subpoenaed in the name of or received by the grand jury , tran- scripts of statements made before the grand jury , or notes thereof ...
Innhold
Responsibilities of Lawyers in Connection with | 21 |
Recent SEC Pronouncements Concerning a Broker | 33 |
Lauzon Inc Securities Exchange | 35 |
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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