SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Side 48
... options . New competitive pressures are certain to develop in this area . Compliance officers will face the task of understanding complex new trading strategies . The interest rate sensitive options , which are under the jurisdiction of ...
... options . New competitive pressures are certain to develop in this area . Compliance officers will face the task of understanding complex new trading strategies . The interest rate sensitive options , which are under the jurisdiction of ...
Side 70
... options department . Soon thereafter , he became the firm's Senior Regis- tered Options Principal ( “ SROP ” ) . As such , he was responsible for establishing compliance procedures for options transactions . In May 1974 , Graham was ...
... options department . Soon thereafter , he became the firm's Senior Regis- tered Options Principal ( “ SROP ” ) . As such , he was responsible for establishing compliance procedures for options transactions . In May 1974 , Graham was ...
Side 71
... options were safer than stocks , was advised that , in view of his conservative objectives , the use of spreads ' Amount Invested would be inappropriate and that his transactions would be limited to covered writing . But Graham ...
... options were safer than stocks , was advised that , in view of his conservative objectives , the use of spreads ' Amount Invested would be inappropriate and that his transactions would be limited to covered writing . But Graham ...
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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