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Table Of Contents

31. Requirement that orders be marked "long" or "short"
34.--Showing of scienter not necessary
35.--Showing of scienter necessary
36.--Pleading
37.--Jury Instructions
38.--Miscellaneous
39. Intent to deceive, manipulate or defraud, generally
40.--Intent required
44. Specific intent to defraud
46.--Pleading
47.--In particular circumstances
48.--What constitutes recklessness, generally
49.--Acting on reasonable belief not reckless
50.--In particular circumstances
51. Negligence
52.--Standard of duty for various parties
53.--In particular circumstances
54. Duty to investigate
55. Reliance on advice or expertise of others
56. Strict liability
57. Effect of good faith
58. "Aiding and abetting"
59. SEC disciplinary cases
61. Materiality as distinct from duty to disclose
62. Test of materiality
63.--Balancing of probability and magnitude
64.--Test as objective
65.--Failure to disclose; omission
66.--Misstatement or misrepresentation
67.--Inside information
68.--Merger discussions or plans
69.--New products
70.--Sale of corporation
71.--Tender offers
72. Question of fact
73. Effect of other party's knowledge
74. Effect of availability of information
75. Effect of investment sophistication of other party
76. Relation to reliance
77. Miscellaneous
79. Necessity of causal reliance
81.--Timing of fraud
82.--Intervening causes
83.--Superseding causes
84.--In particular cases
85. Acts incidentally inducing sale or purchase
86.--Non-stock connected to stock exchanges
88. Agreements to sell or purchase
89.--Uncompleted agreements
90.--"Aborted" sales or purchases
91. Accountant's opinions and advise
92. Audit reports
93. Broker's activities, generally
94.--Brokerage fees
95. Contributions to capital
96. Financing of securities purchases
97. Fraud noncoterminous with sale or purchase
98.--Fraud in connection with other event
99.--Purchase prior to disclosure of material information
100.--Purchase prior to issuance of prospectus
101.--Purchase prior to misrepresentation
102.--In particular circumstances
103. Misappropriation of information
104. Misrepresentations of SEC actions
105. Payment for securities ordered
106. Publicly disseminated information
107. Refusal to deal in stock matters
108. Retention or non-purchase of securities due to fraud
109. Schemes to increase value of stock
110. Transfer of custodial control
111. Miscellaneous
113. Acquisition of treasury stock
114. Agreements affecting prior sales
115. Conversion options
116.--Supplemental indentures
117. Corporate acquisition of own stock
118.--Redemptions of corporate issues
119. Corporate takeover transactions
120. Custodial transfer of stock
121. Issuance of bills of exchange
122. Issuance of stock
123.--As indicia of ownership
124.--In merger
125.--In liquidation
126. Loan and pledge transactions
127. Modification of partnership
128.--Forfeiture of partnership rights
129. Parent-subsidiary exchanges
130. Pension plan contributions
131. Recapitalization transactions
132. Transactions outside stock exchange channels
134. Affirmative misrepresentation not necessary
135. Deceptive conduct
136. Duty to disclose
137. Knowledge assumed of reasonable investors
138. Materiality
139. Effectiveness of disclosure
140. Effect of means of publication or omission
141.--Speeches
142.--Corporate reports and proxies
143.--Press statements
144.--Prospectus statements
145. Statements not controlled by issuer
146. Opinions or predictions
147. Miscellaneous
149. Earnings and profits predictions
150.--Statements made without basis or knowledge
151.--Cautionary language used
152.--In particular circumstances
153. Financing
154. Imminent business expansion
158. Product information
159. Violations of law
161. Ability to pay dividends
162. Availability of financial statement
163. Corporation's credit rating
164. Earnings and profits
165. Outstanding obligations
166. Reduction in minimum capital
167. Value of assets
168. Value of contracts held by corporation
169. Value of contributions to capital
170. Bonus agreements
171. Control group plans
172. Issuer's identity
173.--"Silent" owners
174. Investment history
175. Legality of corporate restructuring
176. Maintenance of funds
177. Management interest in investments
178. Modification of bylaws
179. Resignation of directors
180. Use of corporate funds
182. Ability to redeem notes
183. Broker's qualifications
184. Broker's fees
185. Conversion rights
186. Dividend and interest payments
187. Existence of options
188. Factors affecting underlying capitalization
189. Financing of purchase
190. Identity of purchaser
191.--Insiders
192.--Purchaser's plans
193. Identity of seller
194.--Seller in short position
195. Inability to timely pay for stock redemption
196. Inducing shareholder to retain stock
197. Inducing stock agreement with no intent to perform
198. Market manipulation
199. Other investors
200.--Rights granted other investors
201. Possible legal problems
202. Possible tax consequences
203. Quality of stock
204. Quantity of stock
205. Redemption rights
206. Registration of stock
207. Safety of investment
208. Suspension of trading
209. Takeovers and mergers
210.--Conflict of interest
211.--Financial statement or condition
212.--Merger discussions or plans
213.--Special rights given target's officers
214.--Tender offers
215.--Value of stock or corporation
216.--Appraisal alternatives
217.--Other particular circumstances
218. Value and price of stock
219.--Anticipated changes
220. Others
222. Auditor's negligence
223. Breach of securities-related contracts
224. Failure to use or improper use of prospectus
225. High pressure sales
226. Loan transactions
227. Market manipulation
228. Non-exempt distributions
229. Obtaining stock for inadequate or no consideration
230. Obtaining stock redemption agreements
231. Protecting control position
232. Purchase of securities during distribution period
233. Restricting dividends
234. Sale of unregistered stock
235. Securing purchase price with purchased stock
236. Selling stock at favored price
237. Selling trust assets
238. Short tendering
239. Stock restrictions
240. Theft
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15 USCS § 78j SEC rules

15 USCS § 78j SEC rules

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Published by: henry36582 on Mar 10, 2011
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05/12/2014

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