Postgraduate Course in Federal Securities Law: ALI-ABA Course of Study Materials, Volume 3American Law Institute-American Bar Association Committee on Continuing Professional Education, 1989 - Securities |
From inside the book
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Page 1349
... Broker - Dealer Compliance The Subcommittee had asked the SEC what policies , rules or regulations it was considering to implement the supervisory requirements which the 1988 Act places on broker - dealer and investment adviser firms ...
... Broker - Dealer Compliance The Subcommittee had asked the SEC what policies , rules or regulations it was considering to implement the supervisory requirements which the 1988 Act places on broker - dealer and investment adviser firms ...
Page 1423
... broker - dealer or investment adviser or any persons associated with them . 1 . New Legislation : The Insider Trading and Securities Fraud Enforcement Act of 1988 a . Prior Law A general duty for broker - dealers and investment advisers ...
... broker - dealer or investment adviser or any persons associated with them . 1 . New Legislation : The Insider Trading and Securities Fraud Enforcement Act of 1988 a . Prior Law A general duty for broker - dealers and investment advisers ...
Page 1426
... broker - dealer or investment adviser who violates new Section 21A ( b ) ( 1 ) ( B ) by failing to comply with the requirements of Section 15 ( f ) of the 1934 Act or 204A of the Advisers Act may be held liable for the greater of $ 1 ...
... broker - dealer or investment adviser who violates new Section 21A ( b ) ( 1 ) ( B ) by failing to comply with the requirements of Section 15 ( f ) of the 1934 Act or 204A of the Advisers Act may be held liable for the greater of $ 1 ...
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Common terms and phrases
accounting acquiring acquiror acquisition action administrative proceedings admitting or denying allegedly Allied Stores amended approval assets bidder board of directors Boesky broker-dealer business combination business judgment rule cash civil penalty company's consented Corp corporation court held criminal decision defendants Delaware Delaware Supreme Court disclose disclosure disgorgement district court Drexel duty enforcement enjoined equity Exchange Act Rel fair federal filed greenmail holders indictment insider trading investigation investors issued issuer Jefferies & Co junk bond leveraged buyout litigation merger negotiations penny stock permanent injunction person plaintiff profits proposed protect preferred proxy proxy fight purchase pursuant raider recapitalization registration Regulation reporting restructuring Revlon rights plan Schedule 13D Schedule 14D-9 SEC alleged SEC's Section 15(c securities laws self-tender shareholders shares statute stockholders Supp takeover target company target corporation tender offer tion transaction Transfer Binder Unocal violations voting Williams Act