SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Side 164
... purchase the stock and that she entered an order to purchase the stock for her daughter's account . Fike , without admitting or denying the allegations of the Complaint , consented to a Judgment of Permanent Injunction which , among ...
... purchase the stock and that she entered an order to purchase the stock for her daughter's account . Fike , without admitting or denying the allegations of the Complaint , consented to a Judgment of Permanent Injunction which , among ...
Side 195
... purchase more common stock . in The Complaint further alleges that from December 7 , 1979 to February 23 , 1980 , the Hunts , in a series of transactions , purchased an additional amount of Bache common stock , a separate joint account ...
... purchase more common stock . in The Complaint further alleges that from December 7 , 1979 to February 23 , 1980 , the Hunts , in a series of transactions , purchased an additional amount of Bache common stock , a separate joint account ...
Side 322
... purchase or sale of se- curities . See 15 U.S.C. §§ 78 ( c ) ( a ) ( 14 ) , and 78 ( c ) ( a ) ( 15 ) for definitions of " purchase " and " sale " . See also Annot . , What Is a " Purchase or Sale " of Securities , 4 A. L. R. Fed . 1048 ...
... purchase or sale of se- curities . See 15 U.S.C. §§ 78 ( c ) ( a ) ( 14 ) , and 78 ( c ) ( a ) ( 15 ) for definitions of " purchase " and " sale " . See also Annot . , What Is a " Purchase or Sale " of Securities , 4 A. L. R. Fed . 1048 ...
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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