17 CFR 230.138 - Publications or distributions of research reports by brokers or dealers about securities other than those they are distributing

Cite as17 CFR 230.138
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26 practice notes
  • Part II
    • United States
    • Federal Register May 13, 2004
    • May 13, 2004
    ...Form S-3. \29\ See Public Securities Ass'n (Feb. 7, 1997). \30\ 15 U.S.C. 77e. See Securities Act Rules 137, 138 and 139 (17 CFR 230.137; 17 CFR 230.138; and 17 CFR E. Ongoing Reporting Under the Exchange Act As with registration, the ongoing periodic and current reporting requirements appl......
  • Part II
    • United States
    • Federal Register August 03, 2005
    • August 3, 2005
    ...200.30-1. \2\ 17 CFR 228.512. \3\ 17 CFR 228.10 et seq. \4\ 17 CFR 229.512. \5\ 17 CFR 229.10 et seq. \6\ 17 CFR 230.134; 17 CFR 230.137; 17 CFR 230.138; 17 CFR 230.139; 17 CFR 230.153; 17 CFR 230.158; 17 CFR 230.174; 17 CFR 230.401; 17 CFR 230.405; 17 CFR 230.408; 17 CFR 230.412; 17 CFR 23......
  • Securities: Asset-backed securities; registration, disclosure, and reporting requirements,
    • United States
    • Federal Register January 07, 2005
    • January 7, 2005
    ...Form S-3. \35\ See Public Securities Ass'n (Feb. 7, 1997). \36\ 15 U.S.C. 77e. See Securities Act Rules 137, 138 and 139 (17 CFR 230.137; 17 CFR 230.138; and 17 CFR E. Ongoing Reporting Under the Exchange Act As with registration, the ongoing periodic and current reporting requirements unde......
  • Part II
    • United States
    • Federal Register January 07, 2005
    • January 7, 2005
    ...Form S-3. \35\ See Public Securities Ass'n (Feb. 7, 1997). \36\ 15 U.S.C. 77e. See Securities Act Rules 137, 138 and 139 (17 CFR 230.137; 17 CFR 230.138; and 17 CFR E. Ongoing Reporting Under the Exchange Act As with registration, the ongoing periodic and current reporting requirements unde......
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4 cases
  • Enron Corp. v. Ubs Painewebber, Inc., MDL 1446
    • United States
    • United States District Courts. 5th Circuit. United States District Courts. 5th Circuit. Southern District of Texas
    • February 28, 2017
    ...registered broker or dealer shall make appropriate rules or regulations about these policies and procedures. See 17 C.F.R. §§ 230.37, 230.138, 230.139. Thus an investment bank is required to erect a Chinese wall between its securities analysts' research department and its divisions providin......
  • Enron Corp. v. Ubs Painewebber, Inc., MDL 1446
    • United States
    • United States District Courts. 5th Circuit. United States District Courts. 5th Circuit. Southern District of Texas
    • February 28, 2017
    ...registered broker or dealer shall make appropriate rules or regulations about these policies and procedures. See 17 C.F.R. §§ 230.37, 230.138, 230.139. Thus an investment bank is required to erect a Chinese wall between its securities analysts' research department and its divisions providin......
  • In re Enron Corp. Securities, Derivative & Erisa, MDL No. 1446
    • United States
    • U.S. District Court — Southern District of Texas
    • December 19, 2002
    ...dealer. The Act also permits the SEC to make appropriate rules or regulations about these policies and procedures. See 17 C.F.R. §§ 230.137, 230.138, 230.139. Thus an investment bank is required to erect a Chinese wall between its securities analysts' research department and its divisions p......
  • Enron Corp. v. Enron Corp., MDL 1446
    • United States
    • United States District Courts. 5th Circuit. United States District Courts. 5th Circuit. Southern District of Texas
    • August 2, 2016
    ...registered broker or dealer shall make appropriate rules or regulations about these policies and procedures. See 17 C.F.R. §§ 230.37, 230.138, 230.139. Thus an investment bank is required to erect a Chinese wall between its securities analysts' research department and its divisions providin......
3 firm's commentaries
  • Top 10 Practice Tips: PIPE Transactions By SPACs
    • United States
    • Mondaq United States
    • November 2, 2020
    ...safe harbors that are not available. These include the research safe harbors under Securities Act Rules 137 (17 C.F.R. 230.137), 138 (17 C.F.R. 230.138) and 139 (17 C.F.R. Visit us at mayerbrown.com Mayer Brown is a global legal services provider comprising legal practices that are separate......
  • The FAIR Act: Providing a Safe Harbor for ETF Research Reports
    • United States
    • JD Supra United States
    • December 5, 2017
    ...were codified nearly 50 years ago and have regulated the research process for regulated offerings. See, e.g., 17 C.F.R. § 230.137; 17 C.F.R. § 230.138; 17 C.F.R. § 230.139. [2] The House passed its version of the FAIR Act (H.R. 910) by a bipartisan vote of 405-2 on May 1, 2017. Subsequently......
  • Offering and Communications Reforms for BDCs and Closed-End Funds
    • United States
    • JD Supra United States
    • June 29, 2022
    ...written statements regarding an offer after a prospectus is filed, provided certain conditions are met• Securities Act Rule 138 (17 C.F.R. § 230.138), which permits a broker-dealer participating in a distribution of securities to publish or distribute research reports about the issuer if th......

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