17 C.F.R. § 240.12b-20
Additional information
In addition to the information expressly required to be included in a statement or report, there shall be added such further material information, if any, as may be necessary to make the required statements, in the light of the circumstances under which they are made not misleading.
Notes of Decisions
Cited in 12
cases, 1975–2020 · leading case: Sec. & Exch. Comm'n v. Waterhouse, 797 F. Supp. 1217 (S.D.N.Y. 1992).
Sec. & Exch. Comm'n v. Waterhouse, 797 F. Supp. 1217 (S.D.N.Y. 1992). “§ 78m(a) (1988), and Rules 12b-20 and 13a-l, 17 C.F.R. 240.12b-20 & 240.13a-l (1991).”
Sec v. Goldfield Deep Mines Co. Of Nevada, 758 F.2d 459 (9th Cir. 1985). “78l, and Rule 12b-20 promulgated thereunder, 17 C.F.R. 240.12b-20. Pursuant to these provisions, Goldfield filed a Form 10 registration statement with the Securities and Exchange Commission ("SEC"), describing its management, business activities and its 1980 and 1981 audited…”
Fed. Sec. L. Rep. P 98,225 Sec. & Exch. Comm'n v. Zale Corp., 650 F.2d 718 (5th Cir. 1981). “§ 78m(a)] and Rule 12b-20 thereunder [17 C.F.R. 240.12b-20] — Failure to Include Material Information in Periodical Reports 23.”
Sec. & Exch. Comm'n v. Am. Realty Trust, 429 F. Supp. 1148 (E.D. Va. 1977). “§ 78j(b), 78m(a) and 78n(a) and Rules 10b-5, 13a-1 and 14a-9 and Rule 12b-20, 17 C.F.R. 240.12b-20. 18 . In SEC v. Keller, Industries, supra, at 660, the Court stated: “The SEC concedes that it has the ‘burden to present a strong prima-facie case of violations.”
Sec. & Exch. Comm'n v. Gen. Refractories Co., 400 F. Supp. 1248 (D.D.C. 1975). “13a-l, thereunder, and Rule 12b-20, 17 CFR 240.12b-20. It is further ordered, adjudged and decreed that pending a final determination upon the merits of this action the defendants H.”
Sec. & Exch. Comm'n v. Diversified Indus., Inc., 465 F. Supp. 104 (D.D.C. 1979). “§ 78m(a) (1976) and Rules 12b-20 and 13a-1,17 C.F.R. 240.12b-20 and 240.13a-l (1978) by filing false and misleading Annual Reports which failed to disclose the allegedly fraudulent activities surrounding the purchase by Penn-Dixie of the Florida real estate.”
Sec. & Exch. Comm'n v. Comserv Corp., 908 F.2d 1407 (8th Cir. 1990). “78m(a) and 78m(b)(2) (1988), and Rules 12b-20, 13a-1, and 13a-13, 17 C.F.R. 240.12b-20, 240.13a-1, 240.13a-13 (1989) 3 The "special circumstances" cited by the SEC were that Johnson had asserted his Fifth Amendment right against self-incrimination during the SEC's initial…”
Sec. & Exch. Comm'n v. Am. Real Est. Inv. Trust, 529 F. Supp. 1300 (C.D. Cal. 1982). “§ 787 (g), 78n(a), 17 C.F.R. 240.12b-20, 240.14a-3, 240.14a-6, 240.”
Sec. & EXCH. COM'N v. Diversified Indus., 465 F. Supp. 104 (D.D.C. 1979). “§ 78m(a) (1976) and Rules 12b-20 and 13a-1, 17 C.F.R. 240.12b-20 and 240.13a-1 (1978) by filing false and misleading Annual Reports which failed to disclose the allegedly fraudulent activities surrounding the purchase by Penn-Dixie of the Florida real estate.”
Sec. & Exch. Comm'n v. Comserv Corp., 908 F.2d 1407 (8th Cir. 1990). “78m(a) and 78m(b)(2) (1988), and Rules 12b-20, 13a-1, and 13a-13, 17 C.F.R. 240.12b-20, 240.13a-1, 240.13a-13 (1989).”
Sec. & Exch. Comm'n v. Netelkos, 638 F. Supp. 503 (S.D.N.Y. 1986). “Sections 78i (g) and 78m(a) and Rules 12b-20, 13a-ll and 13a-13 promulgated thereunder, 17 C.F.R. Sections 240.12b-20, 240.13a-ll and 240.”
Sec. & Exch. Comm'n v. Carroll (S.D.N.Y. 2020). “§ 78m(a) and 78ff, and the rules and regulations thereunder, 17 C.F.R. 240.12b-20, 240.13a-1, 240.13a-11, 240.”
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