SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Resultat 1-3 av 87
Side 25
... result in the heightened awareness of all professionals as to their duties to the public . The result of the confluence of the access strategy and the municipal bond program is that in the last five or six years , there has not been one ...
... result in the heightened awareness of all professionals as to their duties to the public . The result of the confluence of the access strategy and the municipal bond program is that in the last five or six years , there has not been one ...
Side 134
... result of his position as a Credit Suisse account officer for Whittaker . As a result of such transactions , Fabregas realized approximately $ 108,852 in profits . The Complaint also alleges that Fabregas purchased securities of two ...
... result of his position as a Credit Suisse account officer for Whittaker . As a result of such transactions , Fabregas realized approximately $ 108,852 in profits . The Complaint also alleges that Fabregas purchased securities of two ...
Side 485
... result from the liberal application of nonmutual , offensive collateral estoppel will be lessened . 114 Even if a defendant argues that the resulting " mini - trial " of reliance , causation , injury , and damages should preclude the ...
... result from the liberal application of nonmutual , offensive collateral estoppel will be lessened . 114 Even if a defendant argues that the resulting " mini - trial " of reliance , causation , injury , and damages should preclude the ...
Innhold
Responsibilities of Lawyers in Connection with | 21 |
Recent SEC Pronouncements Concerning a Broker | 33 |
Lauzon Inc Securities Exchange | 35 |
Opphavsrett | |
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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