Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 69–ի 1-ից 3-ը:
Էջ 9
... course of business device practice scheme transaction §§14 ( e ) , 15 ( c ) ( 2 ) , 206 ; Rules 10b - 5 , 15c1-2 ... course of business " to " course of conduct " and de- letes " artifice , " " contrivance " and " 9 Part II . Definitions ...
... course of business device practice scheme transaction §§14 ( e ) , 15 ( c ) ( 2 ) , 206 ; Rules 10b - 5 , 15c1-2 ... course of business " to " course of conduct " and de- letes " artifice , " " contrivance " and " 9 Part II . Definitions ...
Էջ 16
... course , that definition might be limited to administrative proceedings and face - to- face transactions and the tougher approach of $ 1303 ( c ) might be extended to non - privity situations like Texas Gulf Sulphur , whether involving ...
... course , that definition might be limited to administrative proceedings and face - to- face transactions and the tougher approach of $ 1303 ( c ) might be extended to non - privity situations like Texas Gulf Sulphur , whether involving ...
Էջ 168
... course or both , and any insufficiency in the Commission's rules causes a refer- ence to state law under $ 1418 ( e ) ( 5 ) . See also §1423 ( a ) . ( 4 ) §1418 ( e ) ( 5 ) : State law varies , of course . But the advanced corporate ...
... course or both , and any insufficiency in the Commission's rules causes a refer- ence to state law under $ 1418 ( e ) ( 5 ) . See also §1423 ( a ) . ( 4 ) §1418 ( e ) ( 5 ) : State law varies , of course . But the advanced corporate ...
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