S.E.C. v. PETERS

No. 90-3346.

978 F.2d 1162 (1992)

SECURITIES and EXCHANGE COMMISSION, Plaintiff-Appellant, v. Don S. PETERS, Defendant-Appellee.

United States Court of Appeals, Tenth Circuit.

Rehearing Denied December 15, 1992.


Attorney(s) appearing for the Case

Jacob H. Stillman, Associate Gen. Counsel (James R. Doty, Gen. Counsel, Katharine Gresham, Asst. Gen. Counsel, Mark Pennington, Atty., and Paul Gonson, Sol., of counsel, with him, on the brief), S.E.C., Washington, D.C., for plaintiff-appellant.

Stephen M. Joseph (Charles E. Millsap, with him, on the brief), Joseph, Robison & Anderson, Wichita, Kan., for defendant-appellee.

Before MOORE and EBEL, Circuit Judges, and ALLEY, District Judge.


EBEL, Circuit Judge.

This is an appeal from a jury verdict for the defendant in a civil suit for insider trading in violation of Section 10(b) of the Securities and Exchange Act of 1934 ("the Act"), 15 U.S.C. § 78j(b), and Securities and Exchange Commission Rules 10b-5 and 14e-3, 17 C.F.R. §§ 240.10b-5 and 240.14e-3. First, we hold that the SEC has authority under Section 14(e) of the Act, 15 U.S.C. § 78n(e), to promulgate Rule 14e-3, which provides...

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