17 C.F.R. §242.102 - Activities by issuers and selling security holders during a distribution
| Cite as | 17 C.F.R. §242.102 |
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1 cases
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In re Initial Public Offering Antitrust Litigation, 01 Civ.2014(WHP), 01 Civ.11420(WHP).
...principal by the person making such offer or solicitation" from restrictions on distribution participants during restricted period); 17 C.F.R. § 242.102(b)(5) (exempting "[o]ffers to sell or the solicitation of offers to buy the securities being distributed" from restrictions on activities ......
1 firm's commentaries
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Special Edition: Volcker Rule: Proprietary Trading Restrictions Under the Final Volcker Rule
...capital. 74 Adopting Release at 113. 75 Adopting Release at 113. 76 Final Rule § —.4(a)(2)(ii). 77 Final Rule § —.4(a)(2)(ii). 78 17 C.F.R. § 242.102(a) 79 Final Rule § —.4(a)(2)(ii).Insights /Special Edition: Volcker Rule 13 Permitted Market Making-Related Activity Like the Proposed Rule, ......
1 books & journal articles
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Crypto Assets and Insider Trading Law's Domain
...with the SEC. 243. Mutual funds are normally prohibited from redeeming shares except through the familiar end-of-day/NAV process. 17 C.F.R. § 242.102 (2012). However, an exception permits redemptions by tender offer. Id. § 242.102(b)(2). 244. Clair E. Pagnano et al., K&L Gates LLP, PowerPoi......