Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 61–ի 1-ից 3-ը:
Էջ 74
... covered by § 216 of this draft . And Sec . Ex . Act §§ 12 ( g ) ( 3 ) and 12 ( h ) are covered by the Com- mission's blanket exemptive power in § 302 . ( 4 ) Intrastate issues : Sec . Act § 3 ( a ) ( 11 ) exempts " Any security which is ...
... covered by § 216 of this draft . And Sec . Ex . Act §§ 12 ( g ) ( 3 ) and 12 ( h ) are covered by the Com- mission's blanket exemptive power in § 302 . ( 4 ) Intrastate issues : Sec . Act § 3 ( a ) ( 11 ) exempts " Any security which is ...
Էջ 124
... covered by the report ; ( 5 ) a statement of the remuneration paid by the company during the period covered by the report to ( A ) all directors together with all members of any advisory board by way of regular compensation , ( B ) ...
... covered by the report ; ( 5 ) a statement of the remuneration paid by the company during the period covered by the report to ( A ) all directors together with all members of any advisory board by way of regular compensation , ( B ) ...
Էջ 105
... covered only by the last four Acts of the series . ( 4 ) The false statements provisions in the penalty sections of all the Acts except the Inv . Adv . Act ( where the provision appears in a separate substantive section , $ 207 ) ...
... covered only by the last four Acts of the series . ( 4 ) The false statements provisions in the penalty sections of all the Acts except the Inv . Adv . Act ( where the provision appears in a separate substantive section , $ 207 ) ...
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