17 C.F.R. §242.101 - Activities by distribution participants

Cite as17 C.F.R. §242.101
    • This document is available in original version only for vLex customers

      View this document and try vLex for 7 days
    • TRY VLEX
7 cases
  • In re Initial Public Offering Antitrust Litigation, 01 Civ.2014(WHP), 01 Civ.11420(WHP).
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • November 3, 2003
    ...or purchasing, or attempting to induce others to bid for or purchase, the securities being distributed during the restricted period. 17 C.F.R. § 242.101. Importantly, Regulation M exempts certain conduct that would otherwise be prohibited, such as "[t]ransactions among distribution particip......
  • In re Initial Public Offering Securities Lit., 21 MC 92(SAS).
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • February 19, 2003
    ...or attempt to induce any person to bid for or purchase, a covered security during the applicable restricted period. Id. 1135 (quoting 17 C.F.R. § 242.101). Moreover, the SEC Legal Bulletin Tie-in agreements are a particularly egregious form of solicited transactions prohibited by Regulation......
  • U.S. v. Benussi, S5 CR 1267 LAK.
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • August 20, 2002
    ...65. With regard to the securities fraud object, S2 charged Benussi with conspiring to violate 15 U.S.C. §§ 78o(c)(1)(A), 78ff, and 17 C.F.R. § 242.101(a), which prohibit certain conduct between a broker and a customer, in addition to 15 U.S.C. §§ 77q(a) and 77x. See S2, ¶ 34. S5 retained th......
  • In re Initial Public Offering Securities Lit., Master File No. 21 MC 92(SAS).
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • March 26, 2008
    ...127. Id. at 199. 128. Miles I, 471 F.3d at 42-43 (citations omitted) (quoting Freeman, 915 F.2d at 199). 129. See 17 C.F.R. §§ 230.174(d), 242.101(a). 130. Corvis Compl. ¶ 131. 483 F.3d at 72. 132. The Cammer court identified five factors that would be useful in proving an efficient market:......
  • Request a trial to view additional results

VLEX uses login cookies to provide you with a better browsing experience. If you click on 'Accept' or continue browsing this site we consider that you accept our cookie policy. ACCEPT