Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 63–ի 1-ից 3-ը:
Էջ 188
... adviser makes a contract in violation of [ Sec . Ex . Act §15 ( a ) ( 1 ) or Inv . Adv . Act §203 ( a ) or 205 ] , the contract is not enforceable by the first party or by the broker , dealer , or investment adviser ( or by any nonparty ...
... adviser makes a contract in violation of [ Sec . Ex . Act §15 ( a ) ( 1 ) or Inv . Adv . Act §203 ( a ) or 205 ] , the contract is not enforceable by the first party or by the broker , dealer , or investment adviser ( or by any nonparty ...
Էջ viii
... Adviser at that time . Charles S. Whitman , who has participated informally in the meetings of the Advisers , became a formal member of the group upon his resignation as Executive Assistant to the Chairman of the Commission , and John S ...
... Adviser at that time . Charles S. Whitman , who has participated informally in the meetings of the Advisers , became a formal member of the group upon his resignation as Executive Assistant to the Chairman of the Commission , and John S ...
Էջ 69
... adviser , or one for whom an application for registration is pending , is no longer in existence , or to the extent that the Commission finds that a registered broker , dealer , or investment adviser is not engaged in business in any of ...
... adviser , or one for whom an application for registration is pending , is no longer in existence , or to the extent that the Commission finds that a registered broker , dealer , or investment adviser is not engaged in business in any of ...
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