SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
Inni boken
Resultat 1-3 av 45
Side 177
... bank accounts located in a creditor bank , and ( 5 ) make a required interest payment to a creditor bank , which , on March 5 , 1979 , declared TSI to be in default of its loan agreement . The Commission's complaint further alleged that ...
... bank accounts located in a creditor bank , and ( 5 ) make a required interest payment to a creditor bank , which , on March 5 , 1979 , declared TSI to be in default of its loan agreement . The Commission's complaint further alleged that ...
Side 254
... Bank . The check would be deposited at an account maintained by that entity at United California Bank where Marcoux would cause it to be credited immediately . The funds were then withdrawn from the United California Bank account and ...
... Bank . The check would be deposited at an account maintained by that entity at United California Bank where Marcoux would cause it to be credited immediately . The funds were then withdrawn from the United California Bank account and ...
Side 338
... bank will submit a detailed report to the three - member Commission after notifying its client , and giving the client an opportunity to respond . If the bank's client is an insider , information can be provided . If the bank or the ...
... bank will submit a detailed report to the three - member Commission after notifying its client , and giving the client an opportunity to respond . If the bank's client is an insider , information can be provided . If the bank or the ...
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