SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Resultat 1-3 av 78
Side 207
... officers and directors loaned , directly or indirectly , shares of DDI common stock owned by them to Bartels , a San Francisco mortgage banker and at the time a 5 % shareholder of DDI common stock , which Bartels or the DDI officer or ...
... officers and directors loaned , directly or indirectly , shares of DDI common stock owned by them to Bartels , a San Francisco mortgage banker and at the time a 5 % shareholder of DDI common stock , which Bartels or the DDI officer or ...
Side 225
... officer to an attorney for the company who handled the company's labor relations . In addition the Complaint alleges ... officers with substantial undisclosed benefits , expense accounts and management perquisites . Alle- gedly these ...
... officer to an attorney for the company who handled the company's labor relations . In addition the Complaint alleges ... officers with substantial undisclosed benefits , expense accounts and management perquisites . Alle- gedly these ...
Side 289
... officers possessing material nonpublic information cannot purchase from their shareholders , to whom they owe a duty , it has been argued that corporate officers can sell shares in these circumstances . According to this argument ...
... officers possessing material nonpublic information cannot purchase from their shareholders , to whom they owe a duty , it has been argued that corporate officers can sell shares in these circumstances . According to this argument ...
Innhold
Responsibilities of Lawyers in Connection with | 21 |
Recent SEC Pronouncements Concerning a Broker | 33 |
Lauzon Inc Securities Exchange | 35 |
Opphavsrett | |
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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