SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Side 204
... filed a Schedule 13D in 1972 reporting its acquisition of a stock purchase warrant en- titling it to purchase the equivalent of 51 % of the outstanding shares of American common stock . HSG , however , never filed an amendment to that ...
... filed a Schedule 13D in 1972 reporting its acquisition of a stock purchase warrant en- titling it to purchase the equivalent of 51 % of the outstanding shares of American common stock . HSG , however , never filed an amendment to that ...
Side 234
... filed or caused the filing of inaccurate quarterly reports on Form 10 - Q with the Commission and that CSEP and Schflander violated the anti - fraud provisions of the federal securities laws by making misleading statements and omitting ...
... filed or caused the filing of inaccurate quarterly reports on Form 10 - Q with the Commission and that CSEP and Schflander violated the anti - fraud provisions of the federal securities laws by making misleading statements and omitting ...
Side 256
... filed Sept. 29 , 1980 ) On September 29 , 1980 , the Commsision filed a complaint against Ian T. Allison ( " Allison " ) and a number of other entities and individuals for violations of the anti - fraud , anti - manipu- lative and ...
... filed Sept. 29 , 1980 ) On September 29 , 1980 , the Commsision filed a complaint against Ian T. Allison ( " Allison " ) and a number of other entities and individuals for violations of the anti - fraud , anti - manipu- lative and ...
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