Postgraduate Course in Federal Securities Law: ALI-ABA Course of Study Materials, Volume 2American Law Institute-American Bar Association Committee on Continuing Professional Education, 1991 - Securities |
From inside the book
Results 1-3 of 59
Page 652
... Profits . The Commission has set forth in Rules 16b - 6 ( c ) and ( d ) certain guidelines for calculating the profits recoverable under Section 16 ( b ) from short - swing transactions involving derivative securities . Essentially , the ...
... Profits . The Commission has set forth in Rules 16b - 6 ( c ) and ( d ) certain guidelines for calculating the profits recoverable under Section 16 ( b ) from short - swing transactions involving derivative securities . Essentially , the ...
Page 724
... profits . For example , in SEC v . Mills , SEC Lit. Rel . No. 11877 ( Sept. 28 , 1988 ) , the SEC compelled an insider trader to disgorge his alleged profits and imposed a penalty under ITSA equal to those profits . Similarly , in SEC v ...
... profits . For example , in SEC v . Mills , SEC Lit. Rel . No. 11877 ( Sept. 28 , 1988 ) , the SEC compelled an insider trader to disgorge his alleged profits and imposed a penalty under ITSA equal to those profits . Similarly , in SEC v ...
Page 853
... profits and to determine whether the IRS has a superior claim as to the balance of the funds in the hands of the ... profits and others made profits of at least $ 200,000 . On May 21 , 1989 , the court issued a TRO , which froze Cherif's ...
... profits and to determine whether the IRS has a superior claim as to the balance of the funds in the hands of the ... profits and others made profits of at least $ 200,000 . On May 21 , 1989 , the court issued a TRO , which froze Cherif's ...
Contents
Cosponsored by Continuing Legal Education for Wisconsin | 625 |
Securities Transactions by Officers and Directors | 629 |
Followup on the Section 16 Rule Changes | 635 |
14 other sections not shown
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Common terms and phrases
2d Cir acquired acquisition Act and Rules action administrative proceedings admitting or denying allegedly analysts assets beneficial ownership bidder breach broker-dealers call option Chestman civil penalties Commission filed Commission's common stock Company's complaint alleged compliance consented controlling person corporate David Sterns defendants derivative securities Dirks disclose disclosure disgorgement district court Drexel Drexel Burnham Lambert employee enforcement enjoining equity securities Exchange Act exempt federal securities laws fiduciary duty Glauberman insider trading investment adviser Investment Company investors issued issuer ITSA liability material non-public information merger Michael Milken Milken misappropriation theory penny stock permanent injunction procedures profits purchase pursuant registered reporting Revlon Rule 10b-5 thereunder Schedule 13D SEC Doc SEC Lit SEC's Section 10(b Section 16 Securities Act shareholders shares statements Supp target corporation tender offer tippee transactions trust violated Section 10(b violations of Section