SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Side 82
... 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 calendar days ; Meulebrouck is suspended from association with any ...
... 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 calendar days ; Meulebrouck is suspended from association with any ...
Side 87
... period of 30 days : ( 1 ) it shall solicit no new options accounts ; ( 2 ) it shall solicit no options transactions except as necessary to protect clients ' interests in posi- tions held or acquired during such period ; ( 3 ) it shall ...
... period of 30 days : ( 1 ) it shall solicit no new options accounts ; ( 2 ) it shall solicit no options transactions except as necessary to protect clients ' interests in posi- tions held or acquired during such period ; ( 3 ) it shall ...
Side 225
... period of time by a Vornado officer to an attorney for the company who handled the company's labor relations . In addition the Complaint alleges that for at least the period form January , 1974 through the fiscal year ended January 26 ...
... period of time by a Vornado officer to an attorney for the company who handled the company's labor relations . In addition the Complaint alleges that for at least the period form January , 1974 through the fiscal year ended January 26 ...
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