17 C.F.R. §229.508 - (Item 508) Plan of distribution

Cite as17 C.F.R. §229.508
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7 cases
  • In re Worldcom, Inc. Securities Litigation, 02 Civ. 3288(DLC).
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • December 15, 2004
    ...and any indemnity provided to the underwriter." Degulis v. LXR Biotech., Inc., 928 F.Supp. 1301, 1314 (S.D.N.Y.1996); see also 17 C.F.R. § 229.508(a), (e), (f), (g). It is also worth noting that although Item 508(a) of Regulation S-K requires each underwriter with a material relationship wi......
  • 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
    ...statement "sets out the nature of the compensation and the amount of discounts and commissions to be paid to the underwriter." 17 C.F.R. § 229.508(e).23 For its part, the NASD extensively regulates underwriter compensation and commission practices. For example, the NASD's corporate financin......
  • 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
    ...to be underwriting compensation for purposes of that Association's Rides of Fair Practice. Id. 1139 (emphasis in original) (quoting 17 C.F.R. § 229.508(e)). The NASD "specifically addresses what constitutes underwriting compensation in NASD Conduct Rule 2710(c)(2)(B) (formerly Article III, ......
  • In re Enron Corp. Secur., Deriv. & "Erisa" Lit., MDL No. 1446.
    • United States
    • United States District Courts. 5th Circuit. United States District Courts. 5th Circuit. Southern District of Texas
    • March 5, 2009
    ...insists Lead Plaintiff.25 As another source of a duty to disclose, Lead Plaintiff points to Item 508(l)(1) of Regulation S-K (17 C.F.R. § 229.508(l)(1)), which requires that underwriters of securities disclose "any transaction that the underwriter intends to conduct during the offering that......
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