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5 Cards in this Set
- Front
- Back
What are the three requirements for 10b-5 liability? |
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What are the additional two elements a private actor must prove for damages in a 10b-5 action? |
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What are the three elements for 16b (short-swing) trading? |
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What is the reporting requirement for Sarbanes-Oxley? |
CEO and CFO must certify, based on their knowledge, the reports filed with the SEC do not contain falsehoods |
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What are the three types of people that can be liable for insider trading? |
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