Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 80–ի 1-ից 3-ը:
Էջ 103
... civil liability provisions would hesitate to file a false certification , which would itself carry civil and criminal consequences . Cf. the leg- end at the end of Form 144 , which the filing security holder must include under the ...
... civil liability provisions would hesitate to file a false certification , which would itself carry civil and criminal consequences . Cf. the leg- end at the end of Form 144 , which the filing security holder must include under the ...
Էջ
... ( Civil Liability ) , contains a number of additional definitions relating to those parts , as well as a revision of $ 604 ( a ) , the insider reporting provision , in connection with the civil liability for short - term insider trading ...
... ( Civil Liability ) , contains a number of additional definitions relating to those parts , as well as a revision of $ 604 ( a ) , the insider reporting provision , in connection with the civil liability for short - term insider trading ...
Էջ 73
... liable only to the buyer — manda- tory civil liability to all the customers of a broker- dealer would be too open - ended , particularly with respect to violators out of ignorance . Hence this area of civil liability is relegated to the ...
... liable only to the buyer — manda- tory civil liability to all the customers of a broker- dealer would be too open - ended , particularly with respect to violators out of ignorance . Hence this area of civil liability is relegated to the ...
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