SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Resultat 1-3 av 85
Side 82
... investment adviser or investment company or affiliate thereof for a period of six months ; Wirt is suspended from association with any broker , dealer , investment adviser , investment company or affiliate thereof for a period of 60 ...
... investment adviser or investment company or affiliate thereof for a period of six months ; Wirt is suspended from association with any broker , dealer , investment adviser , investment company or affiliate thereof for a period of 60 ...
Side 259
... Investment Advisory , Civil Action No. 81-74281 ( E.D. Mich . Nov. 18 , 1981 ) On November 18 , 1981 the Commission ... Investment Advisory alleging violations of the anti- fraud provisions of the Exchange Act and the Investment Advisers ...
... Investment Advisory , Civil Action No. 81-74281 ( E.D. Mich . Nov. 18 , 1981 ) On November 18 , 1981 the Commission ... Investment Advisory alleging violations of the anti- fraud provisions of the Exchange Act and the Investment Advisers ...
Side 265
... investment advisers . Investor confidence in the securities market is , in large part , dependent upon fair and honest dealing by market professionals with the public . The integrity of the securities markets is also jeopardized when ...
... investment advisers . Investor confidence in the securities market is , in large part , dependent upon fair and honest dealing by market professionals with the public . The integrity of the securities markets is also jeopardized when ...
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