Another evidence rule, Rule 405, provides further guidance to a party seeking to prove a character trait.
19) Thus, for example, Rule 405 prohibits the admission of specific prior bad acts even for the sole purpose of proving character in a murder case to establish that the victim was the first aggressor, as a person's "character for violence" is not an element of the crime of murder or of self-defense.
Rule 405 provides the acceptable methods of proving character when an exception to the general prohibition applies.
Thus, while profile and syndrome evidence may be authorized by the exceptions of Rule 404, such as when a criminal defendant offers evidence of his own character trait, there is no proper method to introduce it under Rule 405.
The final rule allows use of S-3 when (1) the issuer has outstanding (as of a date within 60 days prior to the filing of the registration statement) at least $750 million of nonconvertible securities, other than common equity, issued in primary offerings for cash, not exchange, or (2) is a wholly-owned subsidiary of a WKSI as defined in Rule 405
under the Securities Act.
As a result of the committee's changes pursuant to numbered paragraph (4), Rule 405
, Methods of Proving Character, now includes opinion testimony along with reputation testimony as a method of proof in cases where character evidence is admissible.
The issuer is eligible to use Form S-8, the options subject to the exchange offer were issued under an employee benefit plan as defined in Rule 405
of the 1933 Act, and the securities offered in the exchange offer will be issued under such an employee benefit plan;
The court also noted three instances in which the rules have been changed: Rule 405
and Rule 608, both of which have to do with evidence of character, and Rule 803(3), which will allow opinion statements as to the existing state of mind or physical condition of a person even if that person would be available as a witness.
Due to adverse equity market conditions and the decline in the trading price of the Company's Common Stock, the Company does not at this time qualify as a "well-known seasoned issuer" (as defined in Rule 405
of the Securities Act of 1933, as amended), and the post-effective amendment is being filed solely to convert the existing automatic shelf registration statement into a non-automatic shelf registration statement.
This press release may constitute a "free writing prospectus" and an "issuer free writing prospectus" as such terms are defined in Rule 405
and Rule 433, respectively, under the Securities Act of 1933, as amended, and relates to the registration statement on Form S-3 filed by Tower Group, Inc.
Additionally, the business and financial materials and any other statement or disclosure on, or made available through, the Company's websites shall not be considered a "free writing prospectus" under the SEC's Rule 405
of the Securities Act of 1933, as amended, unless specifically identified as such.
CER) is a "foreign private issuer" as defined in Rule 3b-4 under the Securities Exchange Act of 1934, as amended, and in Rule 405
under the Securities Act of 1933, as amended.