17 C.F.R. §240.3b-6 - Liability for certain statements by issuers

Cite as17 C.F.R. §240.3b-6
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19 cases
  • In re Theragenics Corp. Securities Litigation, Civ.A. 1:99CV141TWT.
    • United States
    • United States District Courts. 11th Circuit. United States District Courts. 11th Circuit. Northern District of Georgia
    • 20 Julio 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, 96-4132
    • United States
    • United States Courts of Appeals. United States Court of Appeals (8th Circuit)
    • 15 Enero 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., 87-3081
    • United States
    • United States Courts of Appeals. United States Court of Appeals (5th Circuit)
    • 7 Junio 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, 81 Civ. 3483 (JES).
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • 11 Julio 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
    • 17 Enero 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......
1 books & journal articles
  • Puffery or Promises: When Is Cheap Talk Actionable?
    • United States
    • Environmental Law Reporter No. 47-8, August 2017
    • 1 Agosto 2017
    ...Instruction 7 (specifying that “forward-looking information supplied [in Item 303] is expressly covered by the safe harbor rule,” 17 C.F.R. §240.3b-6); Loss & Seligman, supra note 5, §2D(2)(a) at 230–35. 36. 15 U.S.C. §§77z-2(c)(1)(A), (i)(1), 78u-5(c)(1); see, e.g. , Slayton v. Am. Exp. Co......

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