SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
Inni boken
Resultat 1-3 av 48
Side 477
... effect to the SEC adjudication , stating that it would be anomalous to hold that the appellants [ defendants in the SEC injunctive action and the private damages action ] have lost their right to a trial by jury . . . because of a prior ...
... effect to the SEC adjudication , stating that it would be anomalous to hold that the appellants [ defendants in the SEC injunctive action and the private damages action ] have lost their right to a trial by jury . . . because of a prior ...
Side 490
... effect on a subsequent private damages action . 147 More explicitly , if the SEC finds in an administrative ... effect to prevent relitigation of the same issues before a jury . 150 Third , the Supreme Court has acknowledged that an ...
... effect on a subsequent private damages action . 147 More explicitly , if the SEC finds in an administrative ... effect to prevent relitigation of the same issues before a jury . 150 Third , the Supreme Court has acknowledged that an ...
Side 494
... effect from the SEC injunctive action . 174 Justice Rehnquist , dissent- ing in Parklane Hosiery , stated that the majority's opinion . will have the result of coercing defendants to agree to consent orders or settlements in agency ...
... effect from the SEC injunctive action . 174 Justice Rehnquist , dissent- ing in Parklane Hosiery , stated that the majority's opinion . will have the result of coercing defendants to agree to consent orders or settlements in agency ...
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