Understanding Securities Law |
Common terms and phrases
2d Cir 9th Cir accounting accredited investors affiliates amended apply arbitration attorney broker-dealer business judgment rule Circuit Commission conduct context controlling person Corp corporation damages decision defendant directors disclose disclosure discussed due diligence duty enforcement Exchange Act Release Exchange Act reporting exemption federal securities laws fiduciary filed financial statements Form 8-K forward-looking statements free writing prospectus Insider Trading investment investors issue liability limited ment merger misstatement party plaintiff prohibits provides proxy PSLRA public offering purchase pursuant reasonable registered offering registration statement Regulation D Regulation FD reliance remedy requirements resale restricted securities right of action safe harbor Sarbanes-Oxley Act scienter SEC Rule SEC's Section 10(b Section 11 Securities Act Release Securities Exchange Act securities fraud securities markets sell seller shareholders shelf registration solicitation standard statute Steinberg Supp supra Supreme Court tender offer tion transaction Transfer Binder underwriter violation