Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 71–ի 1-ից 3-ը:
Էջ 25
... effect a trading transaction . Illustration 3 : X has held the security for 9 months and sells to Y. ( The sale to Y does not exceed the limit of 35. ) Y may effect a trading transaction after 3 months . Illustration 4 : X has held the ...
... effect a trading transaction . Illustration 3 : X has held the security for 9 months and sells to Y. ( The sale to Y does not exceed the limit of 35. ) Y may effect a trading transaction after 3 months . Illustration 4 : X has held the ...
Էջ 38
... effect that one may not be an officer of both a trustee and an obligor ; Trust Ind . Act §§ 314 ( c ) ( 1 ) , 314 ( c ) ( 3 ) , and 314 ( d ) , which refer to certificates or opinions by an officer of the obligor ; Inv . Co. Act § 2 ( a ) ...
... effect that one may not be an officer of both a trustee and an obligor ; Trust Ind . Act §§ 314 ( c ) ( 1 ) , 314 ( c ) ( 3 ) , and 314 ( d ) , which refer to certificates or opinions by an officer of the obligor ; Inv . Co. Act § 2 ( a ) ...
Էջ 39
... effect that the same person may not be an officer of both the trustee and the obligor . Notwithstanding the exclu- sion of the chairman of the board in Trust Ind . Act § 303 ( 6 ) , the Commission in 1965 proposed to add an instruction ...
... effect that the same person may not be an officer of both the trustee and the obligor . Notwithstanding the exclu- sion of the chairman of the board in Trust Ind . Act § 303 ( 6 ) , the Commission in 1965 proposed to add an instruction ...
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