17 CFR 240.3b-6 - Liability for certain statements by issuers

Cite as17 CFR 240.3b-6
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33 practice notes
  • Economic Growth and Regulatory Paperwork Reduction Act of 1996 Amendments
    • United States
    • Federal Register March 14, 2016
    • March 14, 2016
    ...continue to apply to Federal savings associations. --------------------------------------------------------------------------- \49\ 17 CFR 240.3b-6. --------------------------------------------------------------------------- Furthermore, we note that the removal of Sec. Sec. 194.801 and 194......
  • Securities: Takeovers and security holder communications; regulation modernization,
    • United States
    • Federal Register December 04, 1998
    • December 4, 1998
    ...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 those made in tender Of course, under any extensio......
  • Transfer and Redesignation of Certain Regulations Involving State Savings Associations:
    • United States
    • Federal Register August 05, 2011
    • August 5, 2011
    ...Sec. 390.391 [Reserved]. Sec. 390.392 Liability for certain statements by State savings associations. This section replaces adherence to 17 CFR 240.3b-6 and applies as (a) A statement within the coverage of paragraph (b) of this section which is made by or on behalf of an issuer or by an ou......
  • In re Theragenics Corp. Securities Litigation, No. Civ.A. 1:99CV141TWT.
    • United States
    • United States District Courts. 11th Circuit. United States District Courts. 11th Circuit. Northern District of Georgia
    • July 20, 2000
    ...statements made in a quarterly or annual report if the statements were made with a "reasonable basis" and "in good faith." 17 C.F.R. § 240.3b-6. Finally, the judicially created "bespeaks caution" doctrine protects misstated forecasts, opinions, and projections if "meaningful cautionary stat......
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19 cases
  • In re Theragenics Corp. Securities Litigation, No. Civ.A. 1:99CV141TWT.
    • United States
    • United States District Courts. 11th Circuit. United States District Courts. 11th Circuit. Northern District of Georgia
    • July 20, 2000
    ...statements made in a quarterly or annual report if the statements were made with a "reasonable basis" and "in good faith." 17 C.F.R. § 240.3b-6. Finally, the judicially created "bespeaks caution" doctrine protects misstated forecasts, opinions, and projections if "meaningful cautionary stat......
  • NationsMart Corp. Securities Litigation, In re, No. 96-4132
    • United States
    • United States Courts of Appeals. United States Court of Appeals (8th Circuit)
    • January 15, 1998
    ...The Code of Federal Regulations applies a "safe harbor" rule to Rule 10b-5 which protects forward-looking statements from liability. 17 C.F.R. § 240.3b-6 (1997). This regulation is identical to the regulations which protect forward-looking statements under the Securities Act of 1933. See 17......
  • Isquith for and on Behalf of Isquith v. Middle South Utilities, Inc., No. 87-3081
    • United States
    • United States Courts of Appeals. United States Court of Appeals (5th Circuit)
    • June 7, 1988
    ...Act Release No. 6084, [1979 Transfer Binder] Fed.Sec.L.Rep. (CCH) p 82,117 (July 5, 1979) (adopting Exchange Act Rule 3b-6, 17 C.F.R. Sec. 240.3b-6 (1987) and Securities Act Rule 175, 17 C.F.R. Sec. 230.175 (1987)). Essentially, the safe harbor rules the SEC adopted permit certain companies......
  • Mendell v. Greenberg, No. 81 Civ. 3483 (JES).
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • July 11, 1985
    ...SEC has formulated safe harber rules for certain voluntarily disclosed and wellfounded projections, see, e.g., 17 C.F.R. § 230.175; 17 C.F.R. § 240.3b-6, these do not require that projections be included in proxy materials. Cases cited by plaintiff requiring disclosure where tippees traded ......
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1 firm's commentaries
  • Securities Law Disclosure After Sarbanes-Oxley
    • United States
    • JD Supra United States
    • January 17, 2010
    ...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. J., May 17, 1994, at C1. 24......

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