15 U.S.C. § 787
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Notes of Decisions
Cited in 30
cases, 1974–2012 · leading case: Stephenson v. Deutsche Bank AG, 282 F. Supp. 2d 1032 (D. Minnesota 2003).
Stephenson v. Deutsche Bank AG, 282 F. Supp. 2d 1032 (D. Minnesota 2003). “Section 13(d)(1) provides that any person acquiring five percent or more of the shares of any company registered under Section 12 of the Exchange Act, 15 U.S.C. § 787 , must file a Schedule 13D Statement.”
Fed. Sec. L. Rep. P 95,029 Ruth Elizabeth McCormick Tankersley v. Joseph M. P. Albright & Josephine P. Albright, 514 F.2d 956 (7th Cir. 1975). “C In their fourth, fifth and sixth counterclaims, defendants charge plaintiff trustees with responsibility for alleged company violations of the Securities Exchange Act of 1934, 15 U.S.C. §§ 787 -n, by failing to cause the company to register its stock, file its proxy…”
Cavanagh Communities Corp. v. New York Stock Exch., Inc., 422 F. Supp. 382 (S.D.N.Y. 1976). “Section 12(b) outlines in considerable detail the information which must be provided to the exchange by an issuer seeking to list its security, 15 U.S.C. § 787 (b). Stock exchange officials are required to certify approval of a security to the SEC and the listing cannot become…”
Fed. Sec. L. Rep. P 95,308 Allis-Chalmers Mfg. Co., a Delaware Corp. v. Gulf & W. Indus., Inc., a Delaware Corp., 527 F.2d 335 (7th Cir. 1976). “Included among the insiders covered by the section are owners of more than ten percent of any class of equity security registered under the provisions of section 12 of the Act, 15 U.S.C. § 787 . In this ease we must determine whether the section applies to an initial purchase of…”
Ludlow Corp. v. Sec. & Exch. Comm'n, Boston Stock Exch., Intervenor, 604 F.2d 704 (D.C. Cir. 1979). “” Section 12(f)(2) of the Securities Exchange Act of 1934, as amended (the Act), 15 U.S.C. § 787 (f)(2) (1976). We affirm.”
Blanchette v. Providence & Worcester Co., 428 F. Supp. 347 (D. Del. 1977). “These securities (which constitute the only class of Railroad’s securities) are registered with the Securities and Exchange Commission (“Commission”) pursuant to 15 U.S.C. § 787 , are traded over the counter, and are held by approximately 600 shareholders located across the…”
Amalgamated Clothing & Textile Workers Union v. J. P. Stevens & Co., 475 F. Supp. 328 (S.D.N.Y. 1979). “Stevens, a Delaware corporation with its principal place of business in New York, is registered with the Securities and Exchange Commission pursuant to § 12 of the Securities and Exchange Act of 1934, 15 U.S.C. § 787 . The thirteen individual defendants have all served as…”
E. H. I. of Florida, Inc. v. Ins. Co. of North Am., 499 F. Supp. 1053 (E.D. Pa. 1980). “15 U.S.C.A. § 787 (g). It is undisputed that the Horizon Hospital, Inc.”
Jordan v. Global Nat. Resources, Inc., 564 F. Supp. 59 (S.D. Ohio 1983). “See 15 U.S.C. § 787 (g)(3) and S.E.C. Rule 12(g)(3) which specifically exempts foreign corporations from regulation under the proxy rules.”
Sec. v. World-Wide Coin Investments, Ltd., 567 F. Supp. 724 (N.D. Ga. 1983). “World-Wide’s common stock is registered with the SEC pursuant to the Securities Exchange Act of 1934, 15 U.S.C. § 787 (b), and until late 1981 was listed on the Boston Stock Exchange.”
Sec. & Exch. Comm'n v. Texas Int'l Co., 498 F. Supp. 1231 (N.D. Ill. 1980). “any class of any equity security which is registered pursuant to” section 12(g) of the Act, 15 U.S.C. § 787 (g), must file a statement with the SEC, if the person would be the beneficial owner of more than 5% of the securities after the tender offer is completed.”
Shofstall v. Allied Van Lines, Inc., 455 F. Supp. 351 (N.D. Ill. 1978). “Allied then filed a Form 10 Registration Statement covering its Class B stock with the Securities and Exchange Commission *354 pursuant to § 12(g) of the Securities Exchange Act of 1934 ( 15 U.S.C. § 787 (g) (1977)). The registration statement did not, however, disclose the…”
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