On Monday, some regulatory experts raised concerns about whether Mr. Cook’s email to Mr.Cramer had violated the Securities and Exchange Commission’s fair disclosure regulations. Therules, commonly known as Reg F.D., requires companies to share material information to allinvestors at the same time.
周一当天,一些证券监管专家对于库克写给克拉默的电子邮件提出了疑问,因为这样做或许违反了美国证券交易委员会(Securities and Exchange Commission,简称SEC)的公平披露规则。通常简称为Reg FD的相关规定,要求企业同时向所有投资者分享重大信息。
In previous financial earnings calls, Apple had said it was bullish about its strong, long-termgrowth in China. But the S.E.C. has signaled that reaffirmation of financial guidance, in somecontexts, could even lead to a full-disclosure violation, according to Thomas A. Sporkin, apartner for Buckley Sandler and a former S.E.C. enforcement official. In 2005, the commissioncharged the Flowserve Corporation, a manufacturer, with violating Reg F.D. for reiterating itsguidance to a group of analysts before sharing the same information with the public.
在之前的财报会议中,苹果曾表示对在中国实现强劲的长期增长持乐观态度。但据巴克利桑德勒(BuckleySandler)合伙人、SEC前执法官员托马斯·A·斯波金(Thomas A. Sporkin)介绍,SEC发出的信号表明,在某些情况下,重申企业的财务表现,也可能属于全面违反了涉及披露的规则。2005年,SEC指控制造业企业福斯公司(Flowserve Corporation)违反了公平披露规则,因为该公司是在对一群分析人士重申自己的业绩之后,才向公众披露同一信息的。
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