2002 U.S. Master Federal Securities Law Guide |
Common terms and phrases
acquisition Act Rule action amendment antifraud provisions apply assets audit committee auditors bank beneficial owner beneficial ownership bidder broker broker-dealers business judgment rule CCH Dec class of securities Commission company's Congress Corp corporate court dealers derivative security directors disclose discussed dissemination duty employee equity securities Exchange Act Section federal securities laws fiduciary filing person financial statements Form fraud fund Gramm-Leach-Bliley Act holders imposes insider trading investment adviser investors involving issuer or affiliate issuer tender offer liability ment nonpublic information officer option percent plaintiff prospectus proxy statement purchase purposes pursuant reasonable registration statement Regulation FD Regulation M-A Regulation S-K Item Release requires disclosure Rule 13e-3 transaction Schedule 13D scienter SEC rules SEC's Section 16(b Securities Act Section sell shareholders shares short-swing solicitation specified statute subject company target company tender offer materials tion trust violation voting