Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 80–ի 1-ից 3-ը:
Էջ 34
... exchange " means an exchange registered under section SOURCE : Inv . Co. Act § 2 ( a ) ( 26 ) ; Inv . Adv . Act § 202 ( a ) ( 15 ) . Sec . 264. [ Nonprofit company . ] " Nonprofit company " means a company organized and operated ...
... exchange " means an exchange registered under section SOURCE : Inv . Co. Act § 2 ( a ) ( 26 ) ; Inv . Adv . Act § 202 ( a ) ( 15 ) . Sec . 264. [ Nonprofit company . ] " Nonprofit company " means a company organized and operated ...
Էջ 152
... Exchange Act , 17 W. Res . L. Rev. 925 , 963-1010 ( 1966 ) ; Hoblin , A Stock Broker's Implied Liability to Its Customer for Violation of a Rule of a Registered Stock Exchange , 39 Ford . L. Rev. 253 , esp . at 268-78 ( 1970 ) ...
... Exchange Act , 17 W. Res . L. Rev. 925 , 963-1010 ( 1966 ) ; Hoblin , A Stock Broker's Implied Liability to Its Customer for Violation of a Rule of a Registered Stock Exchange , 39 Ford . L. Rev. 253 , esp . at 268-78 ( 1970 ) ...
Էջ 154
... exchange or association . rules . When an action is based on an exchange or as- sociation rule ( or a " SECO " rule under §15 ( b ) ( 10 ) ) that is designated for purposes of §1416 ( a ) , the court must entertain the action . It is ...
... exchange or association . rules . When an action is based on an exchange or as- sociation rule ( or a " SECO " rule under §15 ( b ) ( 10 ) ) that is designated for purposes of §1416 ( a ) , the court must entertain the action . It is ...
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