Ryan_Fitts_LS311-04_Unit_9_Assignment

Ryan_Fitts_LS311-04_Unit_9_Assignment - 1 Assignment Unit 9...

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Unit 9 Assignment By: Ryan Fitts LS311-04 1
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Registration with the SEC will be required for Reliant Electric Company because they are serving over state lines with electrical distribution. Purchasing Dakota Gasworks a natural gas distributor is required to be register with the SEC because they deal with natural gas. Dale Emerson disclosed private information while returning from a fishing trip on the plan takeover of Dakota Gasworks but I believe that he gave this information innocently to Earnest Wallace and did not mean for Mr. Wallace to take advantage of the information for personal gains. Rule 100 of Regulation FD sets forth the basic rule regarding selective disclosure. “As a whole, the regulation requires that when an issuer makes an intentional disclosure of material nonpublic information to a person covered by the regulation, it must do so in a manner that provides general public disclosure, rather than through a selective disclosure. For a selective disclosure that is non-intentional, the issuer must publicly
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This note was uploaded on 05/26/2011 for the course BUS L 311 taught by Professor Markskipper during the Spring '11 term at Kaplan University.

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Ryan_Fitts_LS311-04_Unit_9_Assignment - 1 Assignment Unit 9...

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