17 C.F.R. § 239.16

Form S-6, for unit investment trusts registered on Form N-8B-2

Read at: eCFRecfr.gov CornellLII GovInfogovinfo.gov CasesGoogle Scholar

This form may be used for registration under the Securities Act of 1933 of securities of any unit investment trust registered under the Investment Company Act of 1940 on Form N-8B-2 (§ 274.12 of this chapter).

Editorial Note:For Federal Register citations affecting Form S-6, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

Notes of Decisions

Cited in 4 cases, 2004–2012 · leading case: SEC v. Phan, 500 F.3d 895 (9th Cir. 2007).

Sort: Relevance Newest Treatment

SEC v. Phan, 500 F.3d 895 (9th Cir. 2007). “8, 1999) ("S-8 Release") (codified at 17 C.F.R. § 239.16 (b)). By signing the S-8 *900 registration, Hartcourt explicitly agreed to amend the form "during any period in which offers or sales are being made" to "reflect .”

In re Tyco Litig., 2004 DNH 177 (D.N.H. 2004). “” 17 C.F.R. § 239.16 (b)(a). The form is used to register: (1) securities that an employer issues to its own employees or employees of a parent or subsidiary; and (2) interests in plans that offer such securities.”

Sec. & Exch. Comm'n v. Phan, 500 F.3d 885 (9th Cir. 2007). “8, 1999) (“S-8 Release”) (codified at 17 C.F.R. § 239.16 (b)). By signing the S- *900 8 registration, Harteourt explicitly agreed to amend the form “during any period in which offers or sales are being made” to “reflect .”

In re BP P.L.C. Sec. Litig., 866 F. Supp. 2d 709 (S.D. Tex. 2012). “428 (a)(1), (b)(1); 17 C.F.R. § 239.16 (b)). Defendants acted as fiduciaries in distributing the SPDs to plan participants.”

Annotations are extracted automatically from the opinions in the Syfert caselaw corpus and ranked by authority, recency, and treatment. Dots show Syfertize treatment of the citing case itself.