SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Side 56
... enforcement capabili- ties of each other . The integrity of our capital markets , the protection of investors and our nation's economic prosperity depend upon each of us fulfilling our responsibilities . Enforcement Programs Now , let ...
... enforcement capabili- ties of each other . The integrity of our capital markets , the protection of investors and our nation's economic prosperity depend upon each of us fulfilling our responsibilities . Enforcement Programs Now , let ...
Side 62
... Enforcement Efforts Let me discuss the efforts being undertaken by the Commission's enforcement professionals and how you can help . The enforcement staff constitutes extraordinary talents with public spiritedness . No group has had ...
... Enforcement Efforts Let me discuss the efforts being undertaken by the Commission's enforcement professionals and how you can help . The enforcement staff constitutes extraordinary talents with public spiritedness . No group has had ...
Side 146
... enforcement jurisdiction in light of five factors . These factors include 1 ) the vital national interests of each of the states , 2 ) the hardship incon- sistent enforcement actions would impose on the individual , 3 ) the place of ...
... enforcement jurisdiction in light of five factors . These factors include 1 ) the vital national interests of each of the states , 2 ) the hardship incon- sistent enforcement actions would impose on the individual , 3 ) the place of ...
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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