17 CFR 240.10b-16 - Disclosure of credit terms in margin transactions

Cite as17 CFR 240.10b-16
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32 practice notes
  • Angelastro v. Prudential-Bache Securities, Inc., PRUDENTIAL-BACHE
    • United States
    • United States Courts of Appeals. United States Court of Appeals (3rd Circuit)
    • June 12, 1985
    ...17 C.F.R. Sec. 240.10b-5 (1984); it did determine, however, that plaintiff could institute a private action under Rule 10b-16, 17 C.F.R. Sec. 240.10b-16 (1984). We agree that a private action may be brought under Rule 10b-16, and therefore will affirm the district court's ruling on that iss......
  • GlenFed, Inc. Securities Litigation, In re, No. 92-55419
    • United States
    • United States Courts of Appeals. United States Court of Appeals (9th Circuit)
    • December 9, 1994
    ...scienter could be inferred." Since a major issue in Robertson was whether there is any scienter requirement in a claim brought under 17 C.F.R. 240.10b-16, id. at 539-41, it appears that plaintiff did not even allege scienter. See id. at 539. After determining that plaintiff did have an obli......
  • Jaksich v. Thomson McKinnon Securities, Inc., No. 81 Civ. 7675 (IBC).
    • United States
    • United States Courts of Appeals. United States Court of Appeals (5th Circuit)
    • February 10, 1984
    ...under the NYSE or NASD rules. Rule 10b-16 Plaintiff claims that defendants violated Securities and Exchange Commission Rule 10b-16, 17 C.F.R. § 240.10b-16,14 promulgated under the authority of section 10(b) of the SEA, by not informing plaintiff in writing what the interest rates would be o......
  • Finne v. Dain Bosworth Inc., Civ. No. 4-86-399.
    • United States
    • United States District Courts. 8th Circuit. United States District Court of Minnesota
    • November 13, 1986
    ...10b-5 claim pending arbitration. b. Rule 10b-16 Claims Count IV of plaintiff's complaint also alleges a violation of Rule 10b-16, 17 C.F.R. § 240.10b-16, which was promulgated under section 10(b) of the Securities Exchange Act of 1934. Rule 10b-16 provides in relevant 648 F. Supp. 344 (a) I......
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25 cases
  • Haynes v. Anderson & Strudwick, Inc., Civ. A. No. 80-0732-R.
    • United States
    • United States District Courts. 4th Circuit. United States District Court (Eastern District of Virginia)
    • February 3, 1981
    ...dealer in the security or other property held as collateral and the conditions under which additional collateral can be required.... 17 C.F.R. § 240.10b-16. 11 The Court also notes that there is no indication that a cause of action under Rule 10b-16 would be "one traditionally relegated to ......
  • Angelastro v. Prudential-Bache Securities, Inc., PRUDENTIAL-BACHE
    • United States
    • United States Courts of Appeals. United States Court of Appeals (3rd Circuit)
    • June 12, 1985
    ...17 C.F.R. Sec. 240.10b-5 (1984); it did determine, however, that plaintiff could institute a private action under Rule 10b-16, 17 C.F.R. Sec. 240.10b-16 (1984). We agree that a private action may be brought under Rule 10b-16, and therefore will affirm the district court's ruling on that iss......
  • GlenFed, Inc. Securities Litigation, In re, No. 92-55419
    • United States
    • United States Courts of Appeals. United States Court of Appeals (9th Circuit)
    • December 9, 1994
    ...scienter could be inferred." Since a major issue in Robertson was whether there is any scienter requirement in a claim brought under 17 C.F.R. 240.10b-16, id. at 539-41, it appears that plaintiff did not even allege scienter. See id. at 539. After determining that plaintiff did have an obli......
  • Jaksich v. Thomson McKinnon Securities, Inc., No. 81 Civ. 7675 (IBC).
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • February 10, 1984
    ...under the NYSE or NASD rules. Rule 10b-16 Plaintiff claims that defendants violated Securities and Exchange Commission Rule 10b-16, 17 C.F.R. § 240.10b-16,14 promulgated under the authority of section 10(b) of the SEA, by not informing plaintiff in writing what the interest rates would be o......
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1 books & journal articles
  • GSB Vol. 9, No. 5 - #1. Theories of Stockbroker and Brokerage Firm Liability.
    • United States
    • Georgia Bar Journal Nbr. 2004, January 2004
    • January 1, 2004
    ...v. Dean Witter Reynolds, Inc., 79 F.3d 609, 614 (7th Cir. 1996). 71. See, e.g., Hunt v. Miller, 908 F.2d 1210 (4th Cir. 1990). 72. 17 CFR 240.10b-16 (promulgated under the Securities Exchange Act of 1934). 73. See, e.g., Greenblatt v. Drexel Burnham Lambert, Inc., 763 F.2d 1352, 1358 n.8 (1......

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