What people are saying - Write a review
We haven't found any reviews in the usual places.
Disclosure Responsibilities under the Federal
Responsibilities of Lawyers in Connection with
Recent SEC Pronouncements Concerning a Broker
22 other sections not shown
2d Cir accounts Act and Rule administrative proceedings admitting or denying agency amendment antifraud provisions associated attorney broker broker-dealer call options Chiarella Civil Action client collateral estoppel Commission's Complaint alleges common stock Complaint further alleges compliance conduct consented Corp Corporation counsel criminal customers dealer defendants denying the allegations disclose disclosure disgorgement District Court duty employees enforcement enjoining entry failed false and misleading federal securities laws fiduciary Final Judgment firm fraud Graham grand jury Gulf Cities insider trading investors issue Judgments of Permanent litigation material non-public information ment Merrill Lynch NASD non-public information concerning options Permanent Injunction person plaintiff possession of material procedures profits proxy purchased pursuant Rule 2(e Schedule 13D scienter Section 10(b Securities Act Securities Exchange Act shareholders shares statements supervision Supp tender offer Tennenbaum tion tippee United United States Attorney violating Section 10(b violations of Section