10b-5 letter
USA

Practical Law Dictionary. Glossary of UK, US and international legal terms. . 2010.

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  • Rule 10b-5 disclosure letter — A letter under Rule 10b 5 of the US Securities Exchange Act of 1934. Rule 10b 5 provides that liability in connection with the offering document may arise if material information is omitted or materially misleading information is included. A Rule …   Law dictionary

  • due diligence — n 1: such diligence as a reasonable person under the same circumstances would use: use of reasonable but not necessarily exhaustive efforts – called also reasonable diligence; ◇ Due diligence is used most often in connection with the performance… …   Law dictionary

  • SEC — abbrSecurities and Exchange Commission see also the important agencies section Merriam Webster’s Dictionary of Law. Merriam Webster. 1996. SEC …   Law dictionary

  • Securities and Exchange Commission — n. A federal agency that oversees the sale and issuing of corporate stocks and bonds and corporate takeovers. abbrv. SEC The Essential Law Dictionary. Sphinx Publishing, An imprint of Sourcebooks, Inc. Amy Hackney Blackwell. 2008. Securities and… …   Law dictionary

  • Securities Exchange Act of 1934 — Securities Exchange Act of 1934: A US statute which primarily regulates the trading of securities of public companies and provides for ongoing reporting by issuers whose securities are listed on a US stock market or are publicly offered in the US …   Law dictionary

  • Securities Exchange Act — of 1934: A US statute which primarily regulates the trading of securities of public companies and provides for ongoing reporting by issuers whose securities are listed on a US stock market or are publicly offered in the US. It regulates tender… …   Law dictionary

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