SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Side 114
... POSSESSION OF NON - PUBLIC INFORMATION RELATING TO TENDER OFFERS A. Introduction 1. The SEC has expressed serious concerns about trading by persons in possession of material , non - public information realting to a tender offer . Such ...
... POSSESSION OF NON - PUBLIC INFORMATION RELATING TO TENDER OFFERS A. Introduction 1. The SEC has expressed serious concerns about trading by persons in possession of material , non - public information realting to a tender offer . Such ...
Side 133
... possession of certain non- public information concerning a proposed ac- quisition of Brunswick by one of Bankers Trust's customers , Whittaker Corporation ( " Whittaker " ) , which information he obtained as a result of his employment ...
... possession of certain non- public information concerning a proposed ac- quisition of Brunswick by one of Bankers Trust's customers , Whittaker Corporation ( " Whittaker " ) , which information he obtained as a result of his employment ...
Side 134
... possession of material non - public informa- tion . The Commission's Complaint alleges that Fabregas , a vice - president at Credit Suisse , purchased 200 call options on the common stock of Brunswick Corporation while in possession of ...
... possession of material non - public informa- tion . The Commission's Complaint alleges that Fabregas , a vice - president at Credit Suisse , purchased 200 call options on the common stock of Brunswick Corporation while in possession of ...
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