SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Side 114
... practices result in unfair disparities in market information and market disruption . 2. In view of the detrimental impact which such trading has on tender offer practice , shareholder protection and the securities markets , the SEC ...
... practices result in unfair disparities in market information and market disruption . 2. In view of the detrimental impact which such trading has on tender offer practice , shareholder protection and the securities markets , the SEC ...
Side 534
... practice before the Commission . Rule 2 ( g ) defines “ practicing before the Commission ” as including , but not limited to , " transacting business with the Commission or preparing any paper filed with the Commission . ” 17 C.F.R. ...
... practice before the Commission . Rule 2 ( g ) defines “ practicing before the Commission ” as including , but not limited to , " transacting business with the Commission or preparing any paper filed with the Commission . ” 17 C.F.R. ...
Side 537
... practice before it . " The 45. Some administrative agencies have been granted authority by Congress to regulate the conduct of lawyers practicing before these agencies . E.g. , Controller General , 31 U.S.C. § 52 ( f ) ; Department of ...
... practice before it . " The 45. Some administrative agencies have been granted authority by Congress to regulate the conduct of lawyers practicing before these agencies . E.g. , Controller General , 31 U.S.C. § 52 ( f ) ; Department of ...
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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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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