Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 76–ի 1-ից 3-ը:
Էջ 142
... apply just as §§ 13 ( d ) and 14 ( d ) today apply with respect to a registered closed - end investment company . Sec . 605. [ Tender requests . ] ( a ) [ Filing requirement in general . ] It is unlawful for any person ( other than the ...
... apply just as §§ 13 ( d ) and 14 ( d ) today apply with respect to a registered closed - end investment company . Sec . 605. [ Tender requests . ] ( a ) [ Filing requirement in general . ] It is unlawful for any person ( other than the ...
Էջ 125
... apply if the issuer , ( A ) makes or causes use of the mails or Federal commerce in connection with his or its doing business , ( B ) is engaged in Federal commerce or in a business affecting Federal commerce , or ( C ) has a class of ...
... apply if the issuer , ( A ) makes or causes use of the mails or Federal commerce in connection with his or its doing business , ( B ) is engaged in Federal commerce or in a business affecting Federal commerce , or ( C ) has a class of ...
Էջ 159
... applies with respect to an act specified in section 1604 ( a ) ( 1 ) ( A ) that occurs outside the United States ... apply with respect to a broker , dealer , or investment adviser , not a resident of the United States , insofar as ...
... applies with respect to an act specified in section 1604 ( a ) ( 1 ) ( A ) that occurs outside the United States ... apply with respect to a broker , dealer , or investment adviser , not a resident of the United States , insofar as ...
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