Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 82–ի 1-ից 3-ը:
Էջ 121
... Commission presumably will keep within bounds ) filed in advance and exam- ined by the staff . Of course , as long as there is civil liability , some will prefer examination of the optional part as well . Whether they can be ...
... Commission presumably will keep within bounds ) filed in advance and exam- ined by the staff . Of course , as long as there is civil liability , some will prefer examination of the optional part as well . Whether they can be ...
Էջ 14
... Commission's inde- pendence . This section will be reexamined if those provisions become law . ( b ) [ The Chairman . ] ( 1 ) The President shall appoint a member of the Commission to be the Chairman . ( 2 ) The Chairman is in charge of ...
... Commission's inde- pendence . This section will be reexamined if those provisions become law . ( b ) [ The Chairman . ] ( 1 ) The President shall appoint a member of the Commission to be the Chairman . ( 2 ) The Chairman is in charge of ...
Էջ 194
... Commission personnel . ] ( 1 ) It is unlawful for a member , official , or employee of ( or consultant to ) the Commission to use for personal benefit , or to disclose to any person except an official or employee of ( or consultant to ) ...
... Commission personnel . ] ( 1 ) It is unlawful for a member , official , or employee of ( or consultant to ) the Commission to use for personal benefit , or to disclose to any person except an official or employee of ( or consultant to ) ...
Բովանդակություն
Reporters Introductory Memorandum | xiii |
270 | xix |
The American Law Institutes Federal Securities Code Project | xxix |
28 այլ բաժինները չեն ցուցադրվում
Common terms and phrases
1st sentence 2d Cir 2d sentence Act Rule action amendment American Law Institute apply bank blue sky laws broker or dealer broker-dealer buyer causation cert civil liability clause Code Code's codification Commis Commission Commission's concept convertible securities corporation court defendant defined definition deleted directors disclosure distribution statement draft effect exchange exemption extent Federal fraud holding company indenture investment adviser investment company investors issuer jurisdiction limited offering Loss measure of damages ment misrepresentation NASD offering statement one-year registrant pany pari delicto person plaintiff prospectus proxy purchase purposes pursuant reasonable reference registration statement rescission respect rule or order rule-making rulemaking authority scienter Securities Act security holders sell seller sion solicitation source provisions specified in section statutes substantially Supp tender request tion trading transactions Trust Ind underwriter Uniform Securities Act United unlawful violation