Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 68–ի 1-ից 3-ը:
Էջ xxiii
... concept . Volume limitations are left to rule , partly because of NASDAQ and the rapid evolution of the mar- kets , with the availability for the first time of over - the- counter volume figures . Prima facie a trading transaction may ...
... concept . Volume limitations are left to rule , partly because of NASDAQ and the rapid evolution of the mar- kets , with the availability for the first time of over - the- counter volume figures . Prima facie a trading transaction may ...
Էջ xxx
... concept of control , which very frequently determines . the SEC's jurisdiction . In the Securities Act , where that concept is critical , it's not defined at all . In the Holding Company Act there is a 10 percent rebuttable presumption ...
... concept of control , which very frequently determines . the SEC's jurisdiction . In the Securities Act , where that concept is critical , it's not defined at all . In the Holding Company Act there is a 10 percent rebuttable presumption ...
Էջ 90
... concept in appropriate circum- stances under $ 1417 ( f ) as a matter of discretionary variation of the statutory measure of damages . But neither concept should apply automatically . ( 2 ) For purposes of section 1402 ( b ) , the ...
... concept in appropriate circum- stances under $ 1417 ( f ) as a matter of discretionary variation of the statutory measure of damages . But neither concept should apply automatically . ( 2 ) For purposes of section 1402 ( b ) , 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