C.F.R. » Title 17 » CHAPTER II—SECURITIES AND EXCHANGE COMMISSION › PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 › Subpart A—Rules and Regulations Under the Securities Exchange Act of 1934

17 C.F.R. § 240.3b-3

[Reserved]

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Notes of Decisions
Cited in 2 cases, 1961–1972 · leading case: Fed. Sec. L. Rep. P 93,596 Mouldings, Inc. v. Ernest E. Potter, 465 F.2d 1101 (5th Cir. 1972).
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Fed. Sec. L. Rep. P 93,596 Mouldings, Inc. v. Ernest E. Potter, 465 F.2d 1101 (5th Cir. 1972). · cites it 2× “" 17 CFR 240.3b-3. In such a sale the purchaser is altogether unaware whether he is buying from a short seller or from an actual owner of stock.”
Silverman v. Landa, 200 F. Supp. 193 (S.D.N.Y. 1961). “See also Rule X-3B-3, 17 C.F.R. 240.3b-3. The legislative history of § 16 (c) makes clear that Congress was concerned with “short sales” and “sales against the box” as that type of trading was used by corporate insiders deriving large profits from transactions in their company’s…”
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