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Google Keyword Rankings for : 10b 18 affiliate
1
17 CFR § 240.10b-18 - Purchases of certain equity securities ...
https://www.law.cornell.edu/cfr/text/17/240.10b-18
(2) Affiliate means any person that directly or indirectly controls, is controlled by, or is under common control with, the issuer. (3) Affiliated purchaser ...
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https://www.law.cornell.edu/cfr/text/17/240.10b-18
(2) Affiliate means any person that directly or indirectly controls, is controlled by, or is under common control with, the issuer. (3) Affiliated purchaser ...
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2
Answers to Frequently Asked Questions Concerning Rule 10b ...
https://www.sec.gov/divisions/marketreg/r10b18faq0504.htm
Answer: Rule 10b-18 requires that the issuer use only one broker or dealer for purchases of its stock on a single day (the "single broker or ...
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https://www.sec.gov/divisions/marketreg/r10b18faq0504.htm
Answer: Rule 10b-18 requires that the issuer use only one broker or dealer for purchases of its stock on a single day (the "single broker or ...
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3
WHAT'S THE DEAL? Rule 10b-18 - Mayer Brown
https://www.mayerbrown.com/-/media/files/perspectives-events/publications/2020/11/what_s_the_deal_10b18.pdf
Rule 10b-18 provides an issuer (and its “affiliated purchasers”) with a non-exclusive safe harbor from liability under certain market manipulation rules ...
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https://www.mayerbrown.com/-/media/files/perspectives-events/publications/2020/11/what_s_the_deal_10b18.pdf
Rule 10b-18 provides an issuer (and its “affiliated purchasers”) with a non-exclusive safe harbor from liability under certain market manipulation rules ...
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4
Rule 10b – 18 Definition - Investopedia
https://www.investopedia.com/terms/r/rule10b18.asp
Rule 10b – 18 is an SEC rule that protects companies and affiliated purchasers by providing a safe harbor when they repurchase the company's stock.
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https://www.investopedia.com/terms/r/rule10b18.asp
Rule 10b – 18 is an SEC rule that protects companies and affiliated purchasers by providing a safe harbor when they repurchase the company's stock.
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5
SEC Adopts Changes to Rule 10b-18 Stock Repurchase "Safe ...
https://www.perkinscoie.com/en/news-insights/sec-adopts-changes-to-rule-10b-18-stock-repurchase-safe-harbor.html
Under amended Rule 10b-18, issuers may repurchase their securities at a price that does not exceed the highest independent bid or the last independent ...
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https://www.perkinscoie.com/en/news-insights/sec-adopts-changes-to-rule-10b-18-stock-repurchase-safe-harbor.html
Under amended Rule 10b-18, issuers may repurchase their securities at a price that does not exceed the highest independent bid or the last independent ...
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6
17 CFR 240.10b-18 -- Purchases of certain equity ... - eCFR
https://www.ecfr.gov/current/title-17/chapter-II/part-240/subpart-A/subject-group-ECFR71e2d22647918b0/section-240.10b-18
(2) Affiliate means any person that directly or indirectly controls, is controlled by, or is under common control with, the issuer. (3) Affiliated purchaser ...
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https://www.ecfr.gov/current/title-17/chapter-II/part-240/subpart-A/subject-group-ECFR71e2d22647918b0/section-240.10b-18
(2) Affiliate means any person that directly or indirectly controls, is controlled by, or is under common control with, the issuer. (3) Affiliated purchaser ...
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7
SEC Adopts Ammendments to Rule 10b-18 and ... - Paul, Weiss
https://www.paulweiss.com/media/2353973/1-04-10b-18.pdf
the SEC adopted amendments to Rule 10b-18 under the Securities Exchange Act of ... for an issuer or any “affiliated purchaser” of the issuer.
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https://www.paulweiss.com/media/2353973/1-04-10b-18.pdf
the SEC adopted amendments to Rule 10b-18 under the Securities Exchange Act of ... for an issuer or any “affiliated purchaser” of the issuer.
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8
Stock Repurchase Considerations in Light of Covid-19
https://www.cravath.com/a/web/12387/5334088-1.pdf
The definition of “affiliated purchaser” under Rule 10b-18 includes any affiliate who, directly or indirectly, (1) is.
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https://www.cravath.com/a/web/12387/5334088-1.pdf
The definition of “affiliated purchaser” under Rule 10b-18 includes any affiliate who, directly or indirectly, (1) is.
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9
Public Company and Affiliate Stock Buyback Rules; Rule 10b-18
https://lawcast.com/2014/09/02/public-company-and-affiliate-stock-buyback-rules-rule-10b-18/
Definition. A “Rule 10b-18 purchase” is generally defined as an open market purchase or any bid or limit order of an issuer's common stock by or ...
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https://lawcast.com/2014/09/02/public-company-and-affiliate-stock-buyback-rules-rule-10b-18/
Definition. A “Rule 10b-18 purchase” is generally defined as an open market purchase or any bid or limit order of an issuer's common stock by or ...
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10
Securities and Exchange Commission § 240.10b–18 - GovInfo
https://www.govinfo.gov/content/pkg/CFR-2014-title17-vol4/pdf/CFR-2014-title17-vol4-sec240-10b-18.pdf
10b–18 purchase is to be effected. (2) Affiliate means any person that di- rectly or indirectly controls, is con- trolled by, or is under common control.
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https://www.govinfo.gov/content/pkg/CFR-2014-title17-vol4/pdf/CFR-2014-title17-vol4-sec240-10b-18.pdf
10b–18 purchase is to be effected. (2) Affiliate means any person that di- rectly or indirectly controls, is con- trolled by, or is under common control.
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11
Stock Buyback Considerations – Public Company Advisory Blog
https://www.goodwinlaw.com/publications/2022/06/stock-buybacks
Rule 10b-18 provides an issuer (and its affiliated purchasers) with a nonexclusive safe harbor solely by reason of the manner, timing, volume, ...
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https://www.goodwinlaw.com/publications/2022/06/stock-buybacks
Rule 10b-18 provides an issuer (and its affiliated purchasers) with a nonexclusive safe harbor solely by reason of the manner, timing, volume, ...
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12
Rule 10b-18 and Purchases of Certain Equity Securities by ...
https://www.federalregister.gov/documents/2002/12/18/02-31656/rule-10b-18-and-purchases-of-certain-equity-securities-by-the-issuer-and-others
The “single broker or dealer” condition, however, applies only to Rule 10b-18 purchases that are “solicited” by or on behalf of the issuer.
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https://www.federalregister.gov/documents/2002/12/18/02-31656/rule-10b-18-and-purchases-of-certain-equity-securities-by-the-issuer-and-others
The “single broker or dealer” condition, however, applies only to Rule 10b-18 purchases that are “solicited” by or on behalf of the issuer.
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13
New SEC FAQ on Rule 10b-18 - Cooley
https://www.cooley.com/news/insight/2004/new-sec-faq-on-rule-10b18
Under amended Rule 10b-18, an issuer's total repurchases on any single day, including its block-size purchases, must satisfy the rule's 25% ADTV ...
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https://www.cooley.com/news/insight/2004/new-sec-faq-on-rule-10b18
Under amended Rule 10b-18, an issuer's total repurchases on any single day, including its block-size purchases, must satisfy the rule's 25% ADTV ...
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14
faq-rule-10b-18-stock-repurchases.pdf - Contentstack
https://assets.contentstack.io/v3/assets/blt5775cc69c999c255/bltde601bfce45ae14f/627314040cffdf1eb1369cd4/faq-rule-10b-18-stock-repurchases.pdf
Rule 10b-18 provides a company (and its “affiliated purchasers”) with a non-exclusive safe harbor from liability under certain market ...
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https://assets.contentstack.io/v3/assets/blt5775cc69c999c255/bltde601bfce45ae14f/627314040cffdf1eb1369cd4/faq-rule-10b-18-stock-repurchases.pdf
Rule 10b-18 provides a company (and its “affiliated purchasers”) with a non-exclusive safe harbor from liability under certain market ...
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15
Rule 10b-18 Sample Clauses - Law Insider
https://www.lawinsider.com/clause/rule-10b-18
Rule 10b-18. ... The Counterparty further covenants and agrees that neither it nor any of its affiliates will purchase any Shares prior to the earlier of the ...
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https://www.lawinsider.com/clause/rule-10b-18
Rule 10b-18. ... The Counterparty further covenants and agrees that neither it nor any of its affiliates will purchase any Shares prior to the earlier of the ...
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16
Recent Modifications to the Rule 10b-18 Safe Harbor for ...
https://www.kramerlevin.com/images/content/1/8/v4/1840/CorporateupdateFebruary2004.pdf
Under amended Rule 10b-18, the safe harbor is available for repurchases of all common equity securities5 by or for an issuer or any affiliated purchaser.6 ...
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https://www.kramerlevin.com/images/content/1/8/v4/1840/CorporateupdateFebruary2004.pdf
Under amended Rule 10b-18, the safe harbor is available for repurchases of all common equity securities5 by or for an issuer or any affiliated purchaser.6 ...
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17
Skadden on Revisiting Share Repurchases in Volatile Times
https://clsbluesky.law.columbia.edu/2022/04/12/skadden-on-revisiting-share-repurchases-in-volatile-times/
The rule also requires that, in the event Rule 10b-18 purchases are made by or on behalf of more than one affiliated purchaser (or a company and ...
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https://clsbluesky.law.columbia.edu/2022/04/12/skadden-on-revisiting-share-repurchases-in-volatile-times/
The rule also requires that, in the event Rule 10b-18 purchases are made by or on behalf of more than one affiliated purchaser (or a company and ...
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18
SEC Adopts New Rules Regarding Share Repurchases
https://www.pillsburylaw.com/images/content/2/5/v2/2595/732CAAE480964632ECF536FDDD77E855.pdf
The goal of Rule 10b-18 is to minimize the market impact of an issuer's share repurchases. Under Rule 10b-18, an issuer or an. “affiliated purchaser”2 may ...
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https://www.pillsburylaw.com/images/content/2/5/v2/2595/732CAAE480964632ECF536FDDD77E855.pdf
The goal of Rule 10b-18 is to minimize the market impact of an issuer's share repurchases. Under Rule 10b-18, an issuer or an. “affiliated purchaser”2 may ...
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19
SHARE BUYBACK PROGRAMS AND CONSIDERATIONS ...
https://www.morganlewis.com/-/media/files/publication/presentation/webinar/2018/public-company-2018/share-buyback-programs-06june18.pdf
Rule 10b-18: • Provides an issuer (and its affiliated purchasers) with a “safe harbor” from liability for manipulation under Section 9(a)(2) ...
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https://www.morganlewis.com/-/media/files/publication/presentation/webinar/2018/public-company-2018/share-buyback-programs-06june18.pdf
Rule 10b-18: • Provides an issuer (and its affiliated purchasers) with a “safe harbor” from liability for manipulation under Section 9(a)(2) ...
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20
SEC Issues Frequently Asked Questions Regarding Rule 10b ...
https://www.friedfrank.com/uploads/siteFiles/ffFiles/040604_repurchase_safeharbor.pdf
Rule 10b-18 generally provides that purchases of an issuer's common stock (or equivalent interests) by an issuer or its “affiliated ...
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https://www.friedfrank.com/uploads/siteFiles/ffFiles/040604_repurchase_safeharbor.pdf
Rule 10b-18 generally provides that purchases of an issuer's common stock (or equivalent interests) by an issuer or its “affiliated ...
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21
A PRIMER ON SHARE REPURCHASES IN CONNECTION ...
https://www.stblaw.com/docs/default-source/cold-fusion-existing-content/publications/pub502.pdf?sfvrsn=2
repurchase shares outside the Rule 10b-18 safe-harbor. ... company are considered “affiliated purchasers” for purposes of complying with the ...
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https://www.stblaw.com/docs/default-source/cold-fusion-existing-content/publications/pub502.pdf?sfvrsn=2
repurchase shares outside the Rule 10b-18 safe-harbor. ... company are considered “affiliated purchasers” for purposes of complying with the ...
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22
10b5-1 Trading Plan Agreement - Apollo Medical Holdings, Inc.
https://www.apollomed.net/investors/sec-filings/all-sec-filings/content/0001104659-20-024856/tm2010830d1_ex99-13.htm
(“Apollo”) and Purchaser may be an affiliated purchaser under Rule 10b-18 of the Exchange Act. Purchaser is establishing this Trading Plan in order to permit ...
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https://www.apollomed.net/investors/sec-filings/all-sec-filings/content/0001104659-20-024856/tm2010830d1_ex99-13.htm
(“Apollo”) and Purchaser may be an affiliated purchaser under Rule 10b-18 of the Exchange Act. Purchaser is establishing this Trading Plan in order to permit ...
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23
Questions Surrounding Share Repurchases
https://corpgov.law.harvard.edu/2013/03/14/questions-surrounding-share-repurchases/
Generally, companies attempt to comply with Rule 10b-18. Companies typically enter into an arrangement with a broker or dealer that agrees to ...
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https://corpgov.law.harvard.edu/2013/03/14/questions-surrounding-share-repurchases/
Generally, companies attempt to comply with Rule 10b-18. Companies typically enter into an arrangement with a broker or dealer that agrees to ...
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24
Navigating Public Company Equity Buybacks
https://www.olshanlaw.com/assets/htmldocuments/Insights_v25n12_Dec11.pdf
price of an issuer's stock. The SEC adopted Rule. 10b-18 to provide a non-exclusive safe harbor to shield issuers and their affiliates from liability.
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https://www.olshanlaw.com/assets/htmldocuments/Insights_v25n12_Dec11.pdf
price of an issuer's stock. The SEC adopted Rule. 10b-18 to provide a non-exclusive safe harbor to shield issuers and their affiliates from liability.
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25
SEC's Rule 10b-18; New Disclosure Requirements - Proskauer
https://www.proskauer.com/insights/download-pdf/218
Commission adopted amendments to Rule 10b-18, its “safe ... companies and their “affiliated purchasers”5 bidding.
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https://www.proskauer.com/insights/download-pdf/218
Commission adopted amendments to Rule 10b-18, its “safe ... companies and their “affiliated purchasers”5 bidding.
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26
Issuer Stock Repurchases (Rule 10b-18 Safe Harbor) Checklist
https://advance.lexis.com/open/document/openwebdocview/Issuer-Stock-Repurchases-Rule-10b-18-Safe-Harbor-Checklist/?pdmfid=1000522&pddocfullpath=%2Fshared%2Fdocument%2Fforms%2Furn%3AcontentItem%3A5KS3-8N61-JB7K-2227-00000-00&pdcomponentid=101207
Rule 10b-18 provides an issuer (and its affiliated purchasers) with a voluntary, ... Act Rule 10b-5 (17 C.F.R. § 240.10b-5) solely by reason of the manner, ...
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https://advance.lexis.com/open/document/openwebdocview/Issuer-Stock-Repurchases-Rule-10b-18-Safe-Harbor-Checklist/?pdmfid=1000522&pddocfullpath=%2Fshared%2Fdocument%2Fforms%2Furn%3AcontentItem%3A5KS3-8N61-JB7K-2227-00000-00&pdcomponentid=101207
Rule 10b-18 provides an issuer (and its affiliated purchasers) with a voluntary, ... Act Rule 10b-5 (17 C.F.R. § 240.10b-5) solely by reason of the manner, ...
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27
SEC ADOPTS ChANGES TO RULE 10B-18 COMPANy ...
https://www.tarterkrinsky.com/uploads/1197/doc/Sec_Adopts_Changes_to_Rule_10B-18_Company_Share_Repurchase_Safe_Harbor_(00376895).PDF
THE RULE 10b-18 “SAFE HARBOR”. Rule 10b-18 provides a company with a “safe harbor” from ... When an affiliate of the company is also purchasing shares on.
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https://www.tarterkrinsky.com/uploads/1197/doc/Sec_Adopts_Changes_to_Rule_10B-18_Company_Share_Repurchase_Safe_Harbor_(00376895).PDF
THE RULE 10b-18 “SAFE HARBOR”. Rule 10b-18 provides a company with a “safe harbor” from ... When an affiliate of the company is also purchasing shares on.
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28
Issuer Stock Repurchases Under Rule 10b-18 - Practical Law
https://uk.practicallaw.thomsonreuters.com/2-504-0047
It also identifies the types of securities covered by Rule 10b-18. This Note identifies other considerations for an issuer when conducting a stock buyback ...
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https://uk.practicallaw.thomsonreuters.com/2-504-0047
It also identifies the types of securities covered by Rule 10b-18. This Note identifies other considerations for an issuer when conducting a stock buyback ...
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29
EX-10.1 - Paychex Investor Relations
https://investor.paychex.com/sec-filings/all-sec-filings/content/0000950152-07-006721/l27455aexv10w1.htm
... could purchase under Rule 10b-18 and (b) number of Securities that Broker is able, ... relating to any block purchases by the Company or any affiliated ...
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https://investor.paychex.com/sec-filings/all-sec-filings/content/0000950152-07-006721/l27455aexv10w1.htm
... could purchase under Rule 10b-18 and (b) number of Securities that Broker is able, ... relating to any block purchases by the Company or any affiliated ...
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30
Proposed Rules for Increased Share Repurchase Disclosure
https://blog.freshfields.us/post/102hevr/the-gift-that-keeps-giving-proposed-rules-for-increased-share-repurchase-disclos
... of the issuer or an affiliated purchaser [1] and enhance existing ... in reliance on the safe harbor in Exchange Act Rule 10b-18; and ...
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https://blog.freshfields.us/post/102hevr/the-gift-that-keeps-giving-proposed-rules-for-increased-share-repurchase-disclos
... of the issuer or an affiliated purchaser [1] and enhance existing ... in reliance on the safe harbor in Exchange Act Rule 10b-18; and ...
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31
SEC Issues Proposal on Share Repurchase Disclosure
https://www.hinckleyallen.com/publications/sec-issues-proposal-on-share-repurchase-disclosure/
the total number of shares purchased in reliance on Rule 10b-18 of the Exchange Act, which provides the issuer and affiliated purchasers with a ...
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https://www.hinckleyallen.com/publications/sec-issues-proposal-on-share-repurchase-disclosure/
the total number of shares purchased in reliance on Rule 10b-18 of the Exchange Act, which provides the issuer and affiliated purchasers with a ...
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32
Top 10 Practice Tips: Stocks Repurchase Programs - Mondaq
https://www.mondaq.com/unitedstates/shareholders/1184224/top-10-practice-tips-stocks-repurchase-programs
Rule 10b-18 (17 C.F.R.§ 240.10b-18), which was adopted in 1982 and amended in 2003, provides public companies with a voluntary, nonexclusive ...
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https://www.mondaq.com/unitedstates/shareholders/1184224/top-10-practice-tips-stocks-repurchase-programs
Rule 10b-18 (17 C.F.R.§ 240.10b-18), which was adopted in 1982 and amended in 2003, provides public companies with a voluntary, nonexclusive ...
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33
sec proposes amendments to issuer share repurchase safe ...
https://www.willkie.com/-/media/files/publications/2010/02/sec-proposes-amendments-to-issuer-share-repurcha__/files/sec-proposes-amendments-to-issuerpdf/fileattachment/sec-proposes-amendments-to-issuer.pdf
The price condition of Rule 10b-18 limits an issuer bidding for or buying its ... shares of the security, exclusive of any shares owned by any affiliate.
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https://www.willkie.com/-/media/files/publications/2010/02/sec-proposes-amendments-to-issuer-share-repurcha__/files/sec-proposes-amendments-to-issuerpdf/fileattachment/sec-proposes-amendments-to-issuer.pdf
The price condition of Rule 10b-18 limits an issuer bidding for or buying its ... shares of the security, exclusive of any shares owned by any affiliate.
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34
Notice To Members 87-62 | FINRA.org
https://www.finra.org/rules-guidance/notices/87-62
Rule 10b-6 prohibits trading by persons interested in a distribution, and Rule 10b-18 regulates purchases of certain equity securities by the issuers of the ...
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https://www.finra.org/rules-guidance/notices/87-62
Rule 10b-6 prohibits trading by persons interested in a distribution, and Rule 10b-18 regulates purchases of certain equity securities by the issuers of the ...
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35
SEC Proposes Amendments to Rule 10b-18 and Disclosure of ...
https://www.nixonpeabody.com/-/media/Files/Alerts/SLA_01152003.ashx
Rule 10b-18 applies to bids or purchases of an issuer's common stock by the issuer or any “affiliated purchaser” except for certain ...
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https://www.nixonpeabody.com/-/media/Files/Alerts/SLA_01152003.ashx
Rule 10b-18 applies to bids or purchases of an issuer's common stock by the issuer or any “affiliated purchaser” except for certain ...
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36
SEC Issues Proposed Rules on Disclosures Surrounding ...
https://www.wyrick.com/news-insights/sec-issues-proposed-rules-on-disclosures-surrounding-stock-repurchases
... any repurchases made on behalf of the company or an affiliate. ... (ii) in reliance on Rule 10b-18 (a safe harbor for buybacks), ...
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https://www.wyrick.com/news-insights/sec-issues-proposed-rules-on-disclosures-surrounding-stock-repurchases
... any repurchases made on behalf of the company or an affiliate. ... (ii) in reliance on Rule 10b-18 (a safe harbor for buybacks), ...
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37
SEC Proposes New Disclosure Rules for Share Repurchases
https://www.shearman.com/perspectives/2021/12/sec-proposes-new-disclosure-rules-for-share-repurchases
... on behalf of the issuer (referred to as an affiliated purchaser). ... Whether its repurchases were made in reliance on the Rule 10b-18 ...
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https://www.shearman.com/perspectives/2021/12/sec-proposes-new-disclosure-rules-for-share-repurchases
... on behalf of the issuer (referred to as an affiliated purchaser). ... Whether its repurchases were made in reliance on the Rule 10b-18 ...
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38
Regulation of Stock Repurchase Programs Under the Federal ...
https://www.dorsey.com/newsresources/publications/2003/12/regulation-of-stock-repurchase-programs-under-th__
An “affiliated purchaser” under Rule 10b-18 is a person acting in concert with the issuer for the purpose of acquiring the issuer's ...
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https://www.dorsey.com/newsresources/publications/2003/12/regulation-of-stock-repurchase-programs-under-th__
An “affiliated purchaser” under Rule 10b-18 is a person acting in concert with the issuer for the purpose of acquiring the issuer's ...
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39
Navigating Share Repurchases in Volatile Markets
https://www.paulhastings.com/insights/client-alerts/navigating-share-repurchases-in-volatile-markets
Excessive executive compensation created by a share repurchase that boosted EPS may attract unwanted attention. While Rule 10b-18 under the ...
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https://www.paulhastings.com/insights/client-alerts/navigating-share-repurchases-in-volatile-markets
Excessive executive compensation created by a share repurchase that boosted EPS may attract unwanted attention. While Rule 10b-18 under the ...
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40
Coronavirus (COVID-19) and Stock Repurchase Programs
https://www.mofo.com/resources/insights/200402-covid-19-and-stock-repurchase-programs
Rule 10b-18 provides a company and its “affiliated purchasers” (as discussed below) with a non‑exclusive safe harbor from liability under ...
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https://www.mofo.com/resources/insights/200402-covid-19-and-stock-repurchase-programs
Rule 10b-18 provides a company and its “affiliated purchasers” (as discussed below) with a non‑exclusive safe harbor from liability under ...
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41
Securities and Exchange Commission § 240.10b–5
https://flofr.gov/sitepages/documents/69W-200.00224.pdf
ions construing Rule 10b–5, and Rule 10b5–1 ... (2) Affiliate means any person that di- ... 10b–18 purchases on behalf of the issuer.
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https://flofr.gov/sitepages/documents/69W-200.00224.pdf
ions construing Rule 10b–5, and Rule 10b5–1 ... (2) Affiliate means any person that di- ... 10b–18 purchases on behalf of the issuer.
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42
Should Congress or the SEC 'Do Something' About Stock ...
https://www.americanbar.org/groups/business_law/publications/blt/2021/04/stock-buybacks/
The SEC intended Rule 10b-18 to minimize the impact of the issuer's purchases on the market for the shares. Investors who buy or sell when the ...
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https://www.americanbar.org/groups/business_law/publications/blt/2021/04/stock-buybacks/
The SEC intended Rule 10b-18 to minimize the impact of the issuer's purchases on the market for the shares. Investors who buy or sell when the ...
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43
sec-adopts-final-rules-affecting-issuer-stock-repurchases.pdf
https://www.ropesgray.com/~/media/Files/alerts/2003/11/sec-adopts-final-rules-affecting-issuer-stock-repurchases.pdf
The SEC also approved amendments to Rule 10b-18 under the ... issuer or affiliated purchaser may purchase shares from more than one broker ...
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https://www.ropesgray.com/~/media/Files/alerts/2003/11/sec-adopts-final-rules-affecting-issuer-stock-repurchases.pdf
The SEC also approved amendments to Rule 10b-18 under the ... issuer or affiliated purchaser may purchase shares from more than one broker ...
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44
SEC Proposes Tighter Rules for 10b5-1 Plans and Stock ...
https://www.gunder.com/news/trading-practices-by-public-issuers-and-their-insiders-under-scrutiny-sec-proposes-tighter-rules-for-10b5-1-plans-and-stock-buybacks/
[4] Exchange Act Rule 10b-18 provides an issuer and its affiliated purchasers with a voluntary, non-exclusive safe harbor from liability ...
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https://www.gunder.com/news/trading-practices-by-public-issuers-and-their-insiders-under-scrutiny-sec-proposes-tighter-rules-for-10b5-1-plans-and-stock-buybacks/
[4] Exchange Act Rule 10b-18 provides an issuer and its affiliated purchasers with a voluntary, non-exclusive safe harbor from liability ...
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45
SEC Adopts Issuer Stock Repurchase Amendments
https://www.alston.com/-/media/files/insights/publications/2003/11/isecurities-law-advisoryi-sec-adopts-issuer-stock/files/stock-repurchase-amendments/fileattachment/stock-repurchase-amendments.pdf
3 “Affiliated purchaser” is defined in current Rule 10b-18(a)(3). Under the amendments, the safe harbor would continue to apply.
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https://www.alston.com/-/media/files/insights/publications/2003/11/isecurities-law-advisoryi-sec-adopts-issuer-stock/files/stock-repurchase-amendments/fileattachment/stock-repurchase-amendments.pdf
3 “Affiliated purchaser” is defined in current Rule 10b-18(a)(3). Under the amendments, the safe harbor would continue to apply.
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46
Accelerated Share Repurchase (ASR) Programs to Be ...
https://www.wsgr.com/en/insights/accelerated-share-repurchase-asr-programs-to-be-impacted-by-proposed-changes-to-rule-10b5-1-and-share-repurchase-disclosure-rules.html
... Rule 10b-18 compliant open market repurchases in an agency arrangement with a broker-dealer affiliate of the issuer's ASR counterparty.
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https://www.wsgr.com/en/insights/accelerated-share-repurchase-asr-programs-to-be-impacted-by-proposed-changes-to-rule-10b5-1-and-share-repurchase-disclosure-rules.html
... Rule 10b-18 compliant open market repurchases in an agency arrangement with a broker-dealer affiliate of the issuer's ASR counterparty.
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47
U.S. Regulation of the International Securities and Derivatives ...
https://www.clearygottlieb.com/-/media/files/isdm-12th-edition/13-chapter-9-pdf.pdf
Rule 10b-18's safe harbor is unavailable for issuer repurchases effected (i) ... makes a tender offer for any of its equity securities (and any affiliate of ...
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https://www.clearygottlieb.com/-/media/files/isdm-12th-edition/13-chapter-9-pdf.pdf
Rule 10b-18's safe harbor is unavailable for issuer repurchases effected (i) ... makes a tender offer for any of its equity securities (and any affiliate of ...
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48
SEC Issues Proposed Rules on Stock Repurchases and Rule ...
https://www.thompsonhine.com/insights/sec-issues-proposed-rules-on-stock-repurchases-and-rule-10b5-1-plans-and-insider-trading/
... equity securities made by or on behalf of a company or an affiliate. ... (ii) in reliance on Rule 10b-18 (a safe harbor for buybacks), ...
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https://www.thompsonhine.com/insights/sec-issues-proposed-rules-on-stock-repurchases-and-rule-10b5-1-plans-and-insider-trading/
... equity securities made by or on behalf of a company or an affiliate. ... (ii) in reliance on Rule 10b-18 (a safe harbor for buybacks), ...
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49
“Rule 10b5-1 & Buybacks: Practical Impacts of SEC's ...
https://www.thecorporatecounsel.net/Webcast/2022/01_12/materials.pdf
a Rule 10b5-1 trading plan or the commonly used Rule 10b-18 safe harbor. ... issuer's securities; or (ii) is “an affiliate who, directly or ...
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https://www.thecorporatecounsel.net/Webcast/2022/01_12/materials.pdf
a Rule 10b5-1 trading plan or the commonly used Rule 10b-18 safe harbor. ... issuer's securities; or (ii) is “an affiliate who, directly or ...
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50
Proposed Amendments Regarding Rule 10b5-1 Trading ...
https://www.whitecase.com/insight-alert/sec-focuses-potential-misuse-material-non-public-information-stock-trades-proposed
... purchases made by or on behalf of the issuer or any affiliated ... Financial institutions voluntarily comply with Rule 10b-18 and it has ...
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https://www.whitecase.com/insight-alert/sec-focuses-potential-misuse-material-non-public-information-stock-trades-proposed
... purchases made by or on behalf of the issuer or any affiliated ... Financial institutions voluntarily comply with Rule 10b-18 and it has ...
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51
The New Rule 10b-18: How the Wachovia Merger Continues ...
https://scholarship.law.unc.edu/cgi/viewcontent.cgi?article=1141&context=ncbi
harbor.40 A Rule 10b-18 purchase "means a purchase of common stock of an issuer by or for the issuer or any affiliated purchaser of the issuer."4.
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https://scholarship.law.unc.edu/cgi/viewcontent.cgi?article=1141&context=ncbi
harbor.40 A Rule 10b-18 purchase "means a purchase of common stock of an issuer by or for the issuer or any affiliated purchaser of the issuer."4.
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52
What's the Deal with Regulation M? - Latham & Watkins LLP
https://www.lw.com/thoughtLeadership/regulation-m-guide-faq
security, or an affiliate whose purchases of a covered security are ... to effect repurchases of securities under Rule 10b-18 during a.
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https://www.lw.com/thoughtLeadership/regulation-m-guide-faq
security, or an affiliate whose purchases of a covered security are ... to effect repurchases of securities under Rule 10b-18 during a.
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53
Manipulative and Deceptive Devices and Contrivances | DART
https://dart.deloitte.com/USDART/home/accounting/sec/rules-regulations/240-securities-exchange-act-1934-rules/a-rules-regulations-under-securities-exchange/240-10b-manipulative-deceptive-devices-contrivances
(iii) For all other securities, Rule 10b-18 purchases must be effected at a price no higher than the highest independent bid obtained from three independent ...
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https://dart.deloitte.com/USDART/home/accounting/sec/rules-regulations/240-securities-exchange-act-1934-rules/a-rules-regulations-under-securities-exchange/240-10b-manipulative-deceptive-devices-contrivances
(iii) For all other securities, Rule 10b-18 purchases must be effected at a price no higher than the highest independent bid obtained from three independent ...
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54
united states securities and exchange commission
https://humana.gcs-web.com/static-files/ec123b05-7e2c-4ace-91d4-97bbff1c1b59
be determined by the Calculation Agent based on Rule 10b-18 eligible ... 10b5-1 or Rule 10b-18 repurchase plan entered into with Dealer or an Affiliate of ...
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https://humana.gcs-web.com/static-files/ec123b05-7e2c-4ace-91d4-97bbff1c1b59
be determined by the Calculation Agent based on Rule 10b-18 eligible ... 10b5-1 or Rule 10b-18 repurchase plan entered into with Dealer or an Affiliate of ...
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55
Share Repurchase Programs, Rule 10b-18 and SEC ...
https://www.pli.edu/programs/S/share-repurchase-programs-rule-10b-18-and-sec-proposed-amendments-impacting-buybacks
Overview · The basics of Rule 10b-18; (12 minutes) · Stock repurchase programs, including corporate authorizations such as Delaware law concerns; (14 minutes) ...
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https://www.pli.edu/programs/S/share-repurchase-programs-rule-10b-18-and-sec-proposed-amendments-impacting-buybacks
Overview · The basics of Rule 10b-18; (12 minutes) · Stock repurchase programs, including corporate authorizations such as Delaware law concerns; (14 minutes) ...
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56
SEC Takes Aim at 10b5-1 Plans and Issuer Share ...
https://www.maynardcooper.com/sec-snapshots-q3-2021-2-2-2
... day on which the issuer or an affiliate executes a share repurchase. ... in reliance on the safe harbor in Exchange Act Rule 10b-18; and ...
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https://www.maynardcooper.com/sec-snapshots-q3-2021-2-2-2
... day on which the issuer or an affiliate executes a share repurchase. ... in reliance on the safe harbor in Exchange Act Rule 10b-18; and ...
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57
SECURITIES ALERT - Akin Gump
https://www.akingump.com/a/web/1020/aogHg/627.pdf
SEC ADOPTS AMENDMENTS TO RULE 10b-18 AND DISCLOSURE ... issuer's outstanding common stock that is not held by affiliates of the issuer) of.
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https://www.akingump.com/a/web/1020/aogHg/627.pdf
SEC ADOPTS AMENDMENTS TO RULE 10b-18 AND DISCLOSURE ... issuer's outstanding common stock that is not held by affiliates of the issuer) of.
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58
Report - New York State Bar Association
https://nysba.org/app/uploads/2020/03/1162-Report.pdf
repurchase blocks as part of their 10b-18 program generally indicate that ... made through subsidiary in the business of matching securities buyers and ...
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https://nysba.org/app/uploads/2020/03/1162-Report.pdf
repurchase blocks as part of their 10b-18 program generally indicate that ... made through subsidiary in the business of matching securities buyers and ...
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59
stock purchase plan engagement agreement - SEC Report
https://sec.report/Document/1087051/000095010322009520/dp173943_ex9901.htm
... together with its affiliated purchasers, could purchase under Rule 10b-18 and (b) number of Securities that Broker is able, subject to market conditions ...
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https://sec.report/Document/1087051/000095010322009520/dp173943_ex9901.htm
... together with its affiliated purchasers, could purchase under Rule 10b-18 and (b) number of Securities that Broker is able, subject to market conditions ...
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60
united states securities and exchange commission - Amgen Inc.
https://investors.amgen.com/static-files/feaa35bc-db2d-4b9c-9350-9be402187a5f
Price for such Disrupted Day based on Rule 10b-18 eligible transactions ... employee of Dealer or its Affiliates responsible for trading the ...
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https://investors.amgen.com/static-files/feaa35bc-db2d-4b9c-9350-9be402187a5f
Price for such Disrupted Day based on Rule 10b-18 eligible transactions ... employee of Dealer or its Affiliates responsible for trading the ...
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61
COVID-19 Coronavirus Business Impact: Repurchasing Equity ...
https://www.dechert.com/knowledge/onpoint/2020/5/covid-19-coronavirus-business-impact-repurchasing-equity-and-deb.html
BDCs and CEFs, and their affiliates, can repurchase shares of their ... Rule 10b-18 provides issuers (and their affiliated purchasers) with ...
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https://www.dechert.com/knowledge/onpoint/2020/5/covid-19-coronavirus-business-impact-repurchasing-equity-and-deb.html
BDCs and CEFs, and their affiliates, can repurchase shares of their ... Rule 10b-18 provides issuers (and their affiliated purchasers) with ...
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62
Master Confirmation - Accelerated share repurchase agreement
https://contracts.justia.com/companies/ebay-441/contract/113297/
Rule 10b-18 VWAP: Subject to the provisions of “Pricing Disruption” below, ... 10b-18”) by or for Counterparty or any of its “affiliated purchasers” (as ...
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https://contracts.justia.com/companies/ebay-441/contract/113297/
Rule 10b-18 VWAP: Subject to the provisions of “Pricing Disruption” below, ... 10b-18”) by or for Counterparty or any of its “affiliated purchasers” (as ...
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63
Booklet (Sep2021) - Free Writings & Perspectives
https://www.freewritings.law/wp-content/uploads/sites/24/2021/09/WhatsTheDeal-Booklet-Sep2021.pdf
An affiliate of an issuer may utilize a Rule 10b5-1 trading plan in conjunction with an ... (a) the affiliate controls the issuer's Rule 10b-18 purchases, ...
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https://www.freewritings.law/wp-content/uploads/sites/24/2021/09/WhatsTheDeal-Booklet-Sep2021.pdf
An affiliate of an issuer may utilize a Rule 10b5-1 trading plan in conjunction with an ... (a) the affiliate controls the issuer's Rule 10b-18 purchases, ...
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64
Securities Law Issues in Volatile Markets
https://www.publiccompanyadvisoryblog.com/wp-content/uploads/sites/13/2022/08/Securities-Law-Issues-in-Volatile-Markets-1.pdf
outstanding voting and non-voting common equity held by non-affiliates ... Rule 10b-18 safe harbor limits repurchases to one broker on any single day.
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https://www.publiccompanyadvisoryblog.com/wp-content/uploads/sites/13/2022/08/Securities-Law-Issues-in-Volatile-Markets-1.pdf
outstanding voting and non-voting common equity held by non-affiliates ... Rule 10b-18 safe harbor limits repurchases to one broker on any single day.
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65
SEC Proposes New Share Repurchase Disclosures - BDO USA
https://www.bdo.com/insights/assurance/sec/sec-proposes-new-share-repurchase-disclosures
Share repurchases made by or on behalf of the company or an affiliate purchaser are ... were made pursuant to the Rule 10b-18 safe harbor, or Rule 10-b5-1.
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https://www.bdo.com/insights/assurance/sec/sec-proposes-new-share-repurchase-disclosures
Share repurchases made by or on behalf of the company or an affiliate purchaser are ... were made pursuant to the Rule 10b-18 safe harbor, or Rule 10-b5-1.
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66
SEC Filing | Aspen Technology, Inc.
http://ir.aspentech.com/node/15926/html
Counterparty (or any “affiliate” or “affiliated purchaser” as defined in Rule 10b-18) shall not, without the prior written consent of JPMorgan, ...
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http://ir.aspentech.com/node/15926/html
Counterparty (or any “affiliate” or “affiliated purchaser” as defined in Rule 10b-18) shall not, without the prior written consent of JPMorgan, ...
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67
united states securities and exchange commission
https://www.bbwinc.com/static-files/5220503a-1450-45ea-85ac-00fcd499759b
own shares under Rule 10b-18(b)(2) and are effected pursuant to the ... Rule 10b-18) or the ability of such affiliated purchasers to acquire ...
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https://www.bbwinc.com/static-files/5220503a-1450-45ea-85ac-00fcd499759b
own shares under Rule 10b-18(b)(2) and are effected pursuant to the ... Rule 10b-18) or the ability of such affiliated purchasers to acquire ...
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68
Corporate and executive services - RBC Wealth Management
https://us.rbcwealthmanagement.com/jim.wozniak/corporate-and-executive-services
... and Exchange Commission (SEC) regulations, including Rule 10b-18. ... Affiliate trading programs – Design and execute pre-arranged trading plans with ...
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https://us.rbcwealthmanagement.com/jim.wozniak/corporate-and-executive-services
... and Exchange Commission (SEC) regulations, including Rule 10b-18. ... Affiliate trading programs – Design and execute pre-arranged trading plans with ...
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69
Equity Derivatives in USA - Lexology
https://www.lexology.com/gtdt/tool/workareas/report/equity-derivatives/chapter/usa
Rule 10b-18 under the Exchange Act offers a safe harbour from certain types of manipulation claims for an issuer if the issuer repurchases its shares in ...
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https://www.lexology.com/gtdt/tool/workareas/report/equity-derivatives/chapter/usa
Rule 10b-18 under the Exchange Act offers a safe harbour from certain types of manipulation claims for an issuer if the issuer repurchases its shares in ...
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70
securities and exchange commission - SEC Filing | RH
https://ir.rh.com/node/12586/html
The Warrant Counterparties or their respective affiliates may buy or ... in Rule 10b-18(b)(4) by or for Company or any of its affiliated ...
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https://ir.rh.com/node/12586/html
The Warrant Counterparties or their respective affiliates may buy or ... in Rule 10b-18(b)(4) by or for Company or any of its affiliated ...
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71
COVID-19: As Corporate Insiders Look to Buy, a Reminder to ...
https://www.wilmerhale.com/en/insights/client-alerts/20200406-covid19-as-corporate-insiders-look-to-buy-a-reminder-to-look-both-ways-before-crossing
Insiders should consider whether they might be an “affiliated purchaser” for purposes of the Rule 10b-18 safe harbor applicable to stock ...
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https://www.wilmerhale.com/en/insights/client-alerts/20200406-covid19-as-corporate-insiders-look-to-buy-a-reminder-to-look-both-ways-before-crossing
Insiders should consider whether they might be an “affiliated purchaser” for purposes of the Rule 10b-18 safe harbor applicable to stock ...
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72
FDIC Law, Regulations, Related Acts - Miscellaneous Statutes ...
https://www.fdic.gov/regulations/laws/rules/8000-7500.html
However, for purposes of this section, the issuer may use one broker or dealer to effect Rule 10b--18 purchases during this period that may be ...
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https://www.fdic.gov/regulations/laws/rules/8000-7500.html
However, for purposes of this section, the issuer may use one broker or dealer to effect Rule 10b--18 purchases during this period that may be ...
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73
Adtalem Global Education Inc. (Form: 8-K, Received
https://d18rn0p25nwr6d.cloudfront.net/CIK-0000730464/0c31a7b5-1746-4aec-a443-1f39f4f413fc.rtf
10b-18 VWAP: On any Calculation Date, a price per Share equal to the ... any of its affiliated purchasers (as defined in Rule 10b-18 under the Exchange Act, ...
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https://d18rn0p25nwr6d.cloudfront.net/CIK-0000730464/0c31a7b5-1746-4aec-a443-1f39f4f413fc.rtf
10b-18 VWAP: On any Calculation Date, a price per Share equal to the ... any of its affiliated purchasers (as defined in Rule 10b-18 under the Exchange Act, ...
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74
Profits Without Prosperity - Harvard Business Review
https://hbr.org/2014/09/profits-without-prosperity
In essence, Rule 10b-18 legalized stock market manipulation through open-market repurchases. The rule was a major departure from the agency's original ...
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https://hbr.org/2014/09/profits-without-prosperity
In essence, Rule 10b-18 legalized stock market manipulation through open-market repurchases. The rule was a major departure from the agency's original ...
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75
united states securities and exchange commission
https://ir.msci.com/static-files/f6a3d453-dab1-418b-9866-d1fd489cffc6
enter into any transactions with affiliates other than on an arm's length basis ... 10b-18(b)(4) by or for Issuer or any of its affiliated purchasers during ...
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https://ir.msci.com/static-files/f6a3d453-dab1-418b-9866-d1fd489cffc6
enter into any transactions with affiliates other than on an arm's length basis ... 10b-18(b)(4) by or for Issuer or any of its affiliated purchasers during ...
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76
Rule 10b-18 | PDF | Broker Dealer | Securities (Finance) - Scribd
https://www.scribd.com/document/76039489/Rule-10b-18
Rule 10b-18 provides an issuer (and its affiliated purchasers) with a "safe harbor" from liability for manipulation under sections 9(a)(2) of the Act and ...
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https://www.scribd.com/document/76039489/Rule-10b-18
Rule 10b-18 provides an issuer (and its affiliated purchasers) with a "safe harbor" from liability for manipulation under sections 9(a)(2) of the Act and ...
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77
SeaWorld Entertainment, Inc. Announces Share Repurchase ...
https://www.prnewswire.com/news-releases/seaworld-entertainment-inc-announces-share-repurchase-program-301545505.html
... including through Rule 10b5-1 trading plans and under Rule 10b-18 of ... LP and its affiliates to significantly influence its decisions; ...
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https://www.prnewswire.com/news-releases/seaworld-entertainment-inc-announces-share-repurchase-program-301545505.html
... including through Rule 10b5-1 trading plans and under Rule 10b-18 of ... LP and its affiliates to significantly influence its decisions; ...
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78
Do Corporate Insiders use Stock Buybacks for Personal Gain?
https://rooseveltinstitute.org/wp-content/uploads/2020/07/RI_Corporate-Insiders-use-Stock-Buybacks-for-Personal-Gain_Working-Paper-201910.pdf
enabling legislation for Rule 10b-18 governs stock market manipulation, and some legal scholars have ... affiliate of it itself is buying or selling' (p.
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https://rooseveltinstitute.org/wp-content/uploads/2020/07/RI_Corporate-Insiders-use-Stock-Buybacks-for-Personal-Gain_Working-Paper-201910.pdf
enabling legislation for Rule 10b-18 governs stock market manipulation, and some legal scholars have ... affiliate of it itself is buying or selling' (p.
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79
Broker-Dealer Trading Activities - McGuireWoods
https://www.mcguirewoods.com/news-resources/publications/financial_services/broker-dealer.doc
The staff reminded brokers that “rule 10b-10 requires broker-dealers to send ... The payment of commissions to an affiliated brokerage would generally ...
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https://www.mcguirewoods.com/news-resources/publications/financial_services/broker-dealer.doc
The staff reminded brokers that “rule 10b-10 requires broker-dealers to send ... The payment of commissions to an affiliated brokerage would generally ...
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80
Press Release - PORTMAN RIDGE
https://www.portmanridge.com/news-releases/news-release-details/portman-ridge-finance-corporation-resumes-share-repurchase-under
... Rules 10b5-1 and 10b-18 under the U.S. Securities Exchange Act of 1934. ... Management LLC , an affiliate of BC Partners Advisors, LP .
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https://www.portmanridge.com/news-releases/news-release-details/portman-ridge-finance-corporation-resumes-share-repurchase-under
... Rules 10b5-1 and 10b-18 under the U.S. Securities Exchange Act of 1934. ... Management LLC , an affiliate of BC Partners Advisors, LP .
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81
Securities Exchange Act of 1934 - NYSE
https://www.nyse.com/publicdocs/nyse/regulation/nyse/sea34.pdf
10B. Position Limits and Position Accountability for Security-Based Swaps and ... Leach- Bliley Act, is not affiliated with a broker or.
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https://www.nyse.com/publicdocs/nyse/regulation/nyse/sea34.pdf
10B. Position Limits and Position Accountability for Security-Based Swaps and ... Leach- Bliley Act, is not affiliated with a broker or.
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82
A Checklist For Insiders Looking To Buy Company Stock
https://www.law360.com/articles/1261938/a-checklist-for-insiders-looking-to-buy-company-stock
Insiders should consider whether they might be an "affiliated purchaser" for purposes of the Rule 10b-18 safe harbor applicable to stock ...
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https://www.law360.com/articles/1261938/a-checklist-for-insiders-looking-to-buy-company-stock
Insiders should consider whether they might be an "affiliated purchaser" for purposes of the Rule 10b-18 safe harbor applicable to stock ...
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83
SALESFORCE COM INC (Form: 8-K, Received - Edgar Online
https://content.edgar-online.com/ExternalLink/EDGAR/0001193125-18-193209.html?hash=f09914b4fc34f09a9a71f311648f2b4f815b9573d827fba66bcbedccd4c53877&dest=D603730DEX103_HTM
(h) None of Company, its affiliates or its affiliated purchasers has engaged in Rule 10b-18 purchases of blocks (“affiliates”, “affiliated ...
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https://content.edgar-online.com/ExternalLink/EDGAR/0001193125-18-193209.html?hash=f09914b4fc34f09a9a71f311648f2b4f815b9573d827fba66bcbedccd4c53877&dest=D603730DEX103_HTM
(h) None of Company, its affiliates or its affiliated purchasers has engaged in Rule 10b-18 purchases of blocks (“affiliates”, “affiliated ...
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84
Portman Ridge Finance Corporation Resumes Share ...
https://finance.yahoo.com/news/portman-ridge-finance-corporation-resumes-120000646.html
... of Rules 10b5-1 and 10b-18 under the U.S. Securities Exchange Act of 1934. ... Management LLC, an affiliate of BC Partners Advisors, LP.
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https://finance.yahoo.com/news/portman-ridge-finance-corporation-resumes-120000646.html
... of Rules 10b5-1 and 10b-18 under the U.S. Securities Exchange Act of 1934. ... Management LLC, an affiliate of BC Partners Advisors, LP.
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85
Section 23B. Restrictions on Transactions with Affiliates
https://www.federalreserve.gov/aboutthefed/section23b.htm
Transactions That Benefit An Affiliate. For the purpose of this subsection, any transaction by a member bank or its subsidiary with any person shall be deemed ...
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https://www.federalreserve.gov/aboutthefed/section23b.htm
Transactions That Benefit An Affiliate. For the purpose of this subsection, any transaction by a member bank or its subsidiary with any person shall be deemed ...
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86
SEC proposes disclosure rule amendments related to share ...
https://www.tuckerellis.com/wp-content/uploads/2021/12/SEC-Proposes-Disclosure-Rule-Amendments-Related-to-Share-Buybacks.pdf
shares by the issuer or any “affiliated purchaser,” meaning anyone acting in ... whether purchases were made in reliance on the Rule 10b-18 ...
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https://www.tuckerellis.com/wp-content/uploads/2021/12/SEC-Proposes-Disclosure-Rule-Amendments-Related-to-Share-Buybacks.pdf
shares by the issuer or any “affiliated purchaser,” meaning anyone acting in ... whether purchases were made in reliance on the Rule 10b-18 ...
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87
united states securities and exchange commission - Investors
https://investors.visteon.com/static-files/901803bb-cce9-4e45-b218-f5b34ab4b364
and are effected pursuant to the conditions of Rule 10b-18(b)(3), ... affiliate of Bank that regularly deals in OTC derivatives (i) whose ...
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https://investors.visteon.com/static-files/901803bb-cce9-4e45-b218-f5b34ab4b364
and are effected pursuant to the conditions of Rule 10b-18(b)(3), ... affiliate of Bank that regularly deals in OTC derivatives (i) whose ...
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88
FREQUENTLY ASKED QUESTIONS ABOUT RULE 10b
https://docplayer.net/4782812-Frequently-asked-questions-about-rule-10b-18-and-stock-repurchase-programs.html
FREQUENTLY ASKED QUESTIONS ABOUT RULE 10b - 18 AND STOCK REPURCHASE PROGRAMS The Regulation What is Rule 10b-18? Rule 10b-18 provides an issuer (and its ...
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https://docplayer.net/4782812-Frequently-asked-questions-about-rule-10b-18-and-stock-repurchase-programs.html
FREQUENTLY ASKED QUESTIONS ABOUT RULE 10b - 18 AND STOCK REPURCHASE PROGRAMS The Regulation What is Rule 10b-18? Rule 10b-18 provides an issuer (and its ...
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89
I am required to file a BE-10 report. Which form do I file?
https://www.bea.gov/help/faq/1392
If, however, a foreign affiliate meeting the reporting requirements for Form BE-10D owns another foreign affiliate being filed on Form BE-10B or ...
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https://www.bea.gov/help/faq/1392
If, however, a foreign affiliate meeting the reporting requirements for Form BE-10D owns another foreign affiliate being filed on Form BE-10B or ...
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90
SEC Filing | Capital One Financial Corp.
https://investor.capitalone.com/node/20056/html
(i) During any Valuation Period, neither Counterparty nor any “affiliate” or “affiliated purchaser” (each as defined in Rule 10b-18 (“Rule ...
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https://investor.capitalone.com/node/20056/html
(i) During any Valuation Period, neither Counterparty nor any “affiliate” or “affiliated purchaser” (each as defined in Rule 10b-18 (“Rule ...
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91
Series 79 Rules & Forms Flashcards - Quizlet
https://quizlet.com/24691038/series-79-rules-forms-flash-cards/
Controls how an issuer/affiliate may buy its own stock on the open market ... Rule 10b-18 safe harbor available to an issuer that bids for or purchases its ...
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https://quizlet.com/24691038/series-79-rules-forms-flash-cards/
Controls how an issuer/affiliate may buy its own stock on the open market ... Rule 10b-18 safe harbor available to an issuer that bids for or purchases its ...
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92
The Code of Federal Regulations of the United States of America
https://books.google.com/books?id=Vu05AAAAIAAJ&pg=PA57-IA4&lpg=PA57-IA4&dq=10b+18+affiliate&source=bl&ots=ra_1RtinLs&sig=ACfU3U13KAHig0jvexzRhVSkFLDMXWiC4A&hl=en&sa=X&ved=2ahUKEwi2wrj9s9n7AhUVrHIEHZMCAOkQ6AF6BQjQAhAD
... for the four calendar weeks preceding the week in which the Rule 10b - 18 ... Rule 10b - 18 purchase of a block by or for the issuer or any affiliated ...
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https://books.google.com/books?id=Vu05AAAAIAAJ&pg=PA57-IA4&lpg=PA57-IA4&dq=10b+18+affiliate&source=bl&ots=ra_1RtinLs&sig=ACfU3U13KAHig0jvexzRhVSkFLDMXWiC4A&hl=en&sa=X&ved=2ahUKEwi2wrj9s9n7AhUVrHIEHZMCAOkQ6AF6BQjQAhAD
... for the four calendar weeks preceding the week in which the Rule 10b - 18 ... Rule 10b - 18 purchase of a block by or for the issuer or any affiliated ...
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93
Code of Federal Regulations: Containing a Codification of ...
https://books.google.com/books?id=LqzGkR2WMyUC&pg=PA51&lpg=PA51&dq=10b+18+affiliate&source=bl&ots=PPFLdURdSP&sig=ACfU3U3_RpcwjZau8CIz9QjxNC6-mLhWEw&hl=en&sa=X&ved=2ahUKEwi2wrj9s9n7AhUVrHIEHZMCAOkQ6AF6BQjRAhAD
... ( ii ) and ( iii ) of this section shall not include any Rule 10b - 18 purchase of a block by or for the issuer or any affiliated purchaser of the ...
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https://books.google.com/books?id=LqzGkR2WMyUC&pg=PA51&lpg=PA51&dq=10b+18+affiliate&source=bl&ots=PPFLdURdSP&sig=ACfU3U3_RpcwjZau8CIz9QjxNC6-mLhWEw&hl=en&sa=X&ved=2ahUKEwi2wrj9s9n7AhUVrHIEHZMCAOkQ6AF6BQjRAhAD
... ( ii ) and ( iii ) of this section shall not include any Rule 10b - 18 purchase of a block by or for the issuer or any affiliated purchaser of the ...
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94
IMPLICATIONS UNDER REGULATION M - Sidley Austin LLP
https://www.sidley.com/~/media/files/publications/2010/01/atthemarket-offerings--implications-under-regula__/files/view-article/fileattachment/cover_endres_hanson_rscr.pdf
exceptions, any affiliate that regularly purchases securities for ... Rule 102 of Regulation M. See Rule 10b-18(a)(13)(i).
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https://www.sidley.com/~/media/files/publications/2010/01/atthemarket-offerings--implications-under-regula__/files/view-article/fileattachment/cover_endres_hanson_rscr.pdf
exceptions, any affiliate that regularly purchases securities for ... Rule 102 of Regulation M. See Rule 10b-18(a)(13)(i).
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95
SEC Proposed Rules Would Revise Rule 10b5-1…
https://www.fenwick.com/insights/publications/sec-proposed-rules-revise-rule-10b5-1-requirements-and-seek-enhanced-disclosure-of-10b5-1-plans-and-share-buybacks
... by companies and their affiliates (the share repurchase proposal). ... shares purchased in reliance on the Rule 10b-18 safe harbor; and ...
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https://www.fenwick.com/insights/publications/sec-proposed-rules-revise-rule-10b5-1-requirements-and-seek-enhanced-disclosure-of-10b5-1-plans-and-share-buybacks
... by companies and their affiliates (the share repurchase proposal). ... shares purchased in reliance on the Rule 10b-18 safe harbor; and ...
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