17 CFR 230.175 - Liability for certain statements by issuers

Cite as17 CFR 230.175
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60 practice notes
  • Part II
    • United States
    • Federal Register August 03, 2005
    • August 3, 2005
    ...in MD&A regarding off-balance sheet arrangements. \129\ See Securities Act Section 27A [15 U.S.C. 77z-2] and Securities Act Rule 175 [17 CFR 230.175]. Section 27A provides a safe harbor for certain forward-looking statements. See also, the Off-Balance Sheet Disclosure Release at note 92......
  • Part II
    • United States
    • Federal Register November 17, 2004
    • November 17, 2004
    ...in MD&A regarding off-balance sheet arrangements. \89\ See Securities Act Section 27A [15 U.S.C. 77z-2] and Securities Act Rule 175 [17 CFR 230.175]. Section 27A provides a safe harbor for certain forward-looking statements. See also, the Off-Balance Sheet Disclosure Release at note 56 ......
  • Securities: Takeovers and security holder communications; regulation modernization,
    • United States
    • Federal Register December 04, 1998
    • December 4, 1998
    ...the Securities Act and Section 21E(b)(1)(B)-(E) of the Exchange Act. \263\ The Commission's safe harbor rules, Securities Act Rule 175 [17 CFR 230.175] and Exchange Act Rule 3b-6 [17 CFR 240.3b-6], are available for certain forward-looking statements made in Commission filings, including th......
  • Securities: Securities offerings reform; registration, communications, and offering processes; modification,
    • United States
    • Federal Register November 17, 2004
    • November 17, 2004
    ...in MD&A regarding off-balance sheet arrangements. \89\ See Securities Act Section 27A [15 U.S.C. 77z-2] and Securities Act Rule 175 [17 CFR 230.175]. Section 27A provides a safe harbor for certain forward-looking statements. See also, the Off-Balance Sheet Disclosure Release at note 56 ......
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38 cases
  • In re Azurix Corp. Securities Litigation, No. H-00-4034.
    • United States
    • United States District Courts. 5th Circuit. United States District Courts. 5th Circuit. Southern District of Texas
    • March 21, 2002
    ...income (loss), earnings (loss) per share, capital expenditures, dividends, capital structure or other financial items." SEC Rule 175, 17 C.F.R. § 230.175. Under the safe harbor provisions a person is not liable with respect to any forward-looking statement, whether written or oral, if and t......
  • Shaw v. Digital Equipment Corp., Nos. 95-1995
    • United States
    • United States Courts of Appeals. United States Court of Appeals (1st Circuit)
    • February 8, 1996
    ...was made with reasonable basis and in good faith, it may have been protected by the SEC's safe harbor provision. See SEC Rule 175, 17 C.F.R. § 230.175; see also Arazie v. Mullane, 2 F.3d 1456, 1468 (7th Cir.1993); Searls v. Glasser, 64 F.3d 1061, 1066 (7th Cir.1995); cf. Private Securities ......
  • In re PHLCORP Securities Tender Offer Litigation, No. 88 Civ. 0306(PNL).
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • December 2, 1988
    ...(CCH) ¶ 80,461 (1976), and that in 1978, the SEC adopted a "safe-harbor" rule for forward-looking statements made in good faith. 17 C.F.R. § 230.175 (1985). While Rule 175 does not require the disclosure of financial projections, Starkman v. Marathon Oil Co., 772 F.2d 231, 240 (6th Cir.1985......
  • In re Mobilemedia Securities Litigation, No. CIV. A. 96-5723 (AJL).
    • United States
    • U.S. District Court — District of New Jersey
    • October 21, 1998
    ...addition, the Securities Act, as amended, provides a "safe harbor" for forward looking Page 929 statements.17 See 15 U.S.C. § 77z-2; 17 C.F.R. § 230.175. A forward looking statement is defined (A) a statement containing a projection of revenues, income (including income loss), earnings (inc......
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3 firm's commentaries
  • The Evisceration of the Federal Securities Law
    • United States
    • JD Supra United States
    • February 13, 2014
    ...(including earnings loss) per share, capital expenditures, dividends, capital structure, or other financial items; 52 Id. 53 Id. 54 17 C.F.R. § 230.175. 55 Id. at § 230.175(b). 56 Id. at §§ 230.175(c)(1)-(4).9 Current through 12/19/2013 b. “a statement of the plans and objectives of managem......
  • Securities Law Disclosure After Sarbanes-Oxley
    • United States
    • JD Supra United States
    • January 17, 2010
    ...The Business Judgment Rule 241 The safe harbor rules --Rule 175 under the Exchange Act and Rule 3b-6 under the Securities Act --are 17 C.F.R. §230.175 (1994) and 17 C.F.R. §240.3b-6 (1994) (the “Safe Harbor Rules”). 242 Christi Harlan, SEC Seeks to Beef Up ‘Safe Harbor’ Provision, Wall St. ......
  • The Top 10 Obstacles to Litigating Securities Fraud Claims: Part I
    • United States
    • JD Supra United States
    • December 10, 2014
    ...as a matter of law. See Halperin v. eBanker USA.com, Inc., 295 F.3d 352, 357 (2d Cir. 2002). Forward-looking statements. SEC Rule 175, 17 C.F.R. § 230.175, creates a safe harbor for forward-looking statements in registration statements, and other specific documents, making misrepresentation......
1 books & journal articles
  • Unveiling Management's Crystal Ball
    • United States
    • Louisiana Law Review Nbr. 77-3, April 2017
    • April 1, 2017
    ...state a material fact necessary in order to make the statements made . . . not misleading . . . .”) (emphasis added). 68. See, e.g., 17 C.F.R. § 230.175. 69. In one SEC safe harbor provision, forward-looking information includes projections of financial information, a statement of managemen......

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