SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Side 12
... disclose the likelihood and magnitude of such fines , penalties and other material effects in order to prevent from ... disclose various internal estimates of material capital expenditures needed to comply with environmental standards ...
... disclose the likelihood and magnitude of such fines , penalties and other material effects in order to prevent from ... disclose various internal estimates of material capital expenditures needed to comply with environmental standards ...
Side 112
... disclose material information they have learned in the course of their fiduciary relationships before trading in securities , " and thus , Dirks became subject to his informants ' " disclose or refrain from trading obligation " , and ...
... disclose material information they have learned in the course of their fiduciary relationships before trading in securities , " and thus , Dirks became subject to his informants ' " disclose or refrain from trading obligation " , and ...
Side 288
... disclose . . Chiarella , 445 This duty to U.S. at 228 ( footnote omitted ) . disclose traditionally has been imposed upon high - level insiders , such as corporate directors , officers , and controlling shareholders , who have special ...
... disclose . . Chiarella , 445 This duty to U.S. at 228 ( footnote omitted ) . disclose traditionally has been imposed upon high - level insiders , such as corporate directors , officers , and controlling shareholders , who have special ...
Innhold
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