Insider Trading: Hearings Before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundredth Congress, Second Session Including H.R. 4945 ... July 11, August 3, and September 9, 1988U.S. Government Printing Office, 1989 - 274 páginas |
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Términos y frases comunes
2d Cir action activities agreements aiding and abetting allegations amended analysts Anheuser-Busch appropriate assistance authorize the Commission BACHMANN bill Boesky bounty broker-dealer cert Chairman Committee Commodity Exchange Act conduct confidential Congress contemporaneous traders controlling person corporate court criminal Dennis Levine DINGELL disclosure Drexel employees Exchange Commission federal securities laws firms FOIA foreign authorities foreign countries foreign government foreign securities authority GIULIANI insider trading insider trading violations International Securities Enforcement investigation Investment Advisers Act Investment Company Act investors Ivan Boesky jurisdiction letters rogatory liability litigation Lynch MARKEY material nonpublic information misappropriation Morgan Stanley obtained paragraph penalties procedures prohibition proposed legislation prosecution purchase or sale pursuant regulations request RINALDO RUDER rules SEC's Section 203 Securities and Exchange Securities Exchange Act securities law violations securities markets statute statutory subcommittee Subparagraph subsection substantially equivalent supervision tender offer testimony tion tipper tipping transaction U.S. securities United wrongful trading
Pasajes populares
Página 19 - ... (A) there have been established procedures, and a system for applying such procedures, which would reasonably be expected to prevent...
Página 10 - BEFORE THE SUBCOMMITTEE ON TELECOMMUNICATIONS AND FINANCE OF THE HOUSE COMMITTEE ON ENERGY AND COMMERCE...
Página 62 - An omitted fact is material if there is a substantial likelihood that a reasonable shareholder would consider it important in deciding how to vote.
Página 20 - Every person who, directly or indirectly, controls any person liable under any provision of this title or of any rule or regulation thereunder shall also be liable jointly and severally with and to the same extent as such controlled person to any person to whom such controlled person is liable, unless the controlling person acted in good faith and did not directly or indirectly induce the act or acts constituting the violation or cause of action.
Página 20 - ... shall also be liable jointly and severally with and to the same extent as such controlled person to any person to whom such controlled person is liable, unless the controlling person had no knowledge of or reasonable ground to believe in the existence of the facts by reason of which the liability of the controlled person is alleged to exist.
Página 27 - Ruder, Chairman of the Securities and Exchange Commission, Before the Subcommittee on Securities of the Senate Banking, Housing and Urban Affairs Committee, Concerning the Commission's Revised Proposal to Define Insider Trading 9-10 (December 15, 1987).
Página 14 - Whenever it shall appear to the Commission that any person is engaged or about to engage in any acts or practices which constitute or will constitute a violation...
Página 97 - Mr. Chairman, I have no questions but I would like to take this opportunity to express my gratitude at being appointed a member of this committee.
Página 63 - SEC v. Texas Gulf Sulphur Co., 401 F.2d 833, 849 ( 2d Cir. 1968) (en bane) , cert, denied, 394 US 976 (1969).
Página 139 - ... trusts, commercial lending, insurance, trading in contracts of sale of a commodity for future delivery, or other instruments traded on or subject to the rules of a contract market, board of trade or foreign equivalent, or other financial activities, or (C) membership organization a function of which is to regulate the participation of its members in activities listed above.