Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 49–ի 1-ից 3-ը:
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... false , whether in press releases or filings ( $ 1304 ( d ) ) or in connection with buy or sell offers , proxy ... false registration state- ments , offering statements and annual ( 10 - K ) reports ( $ 1403 ) , other false filings by ...
... false , whether in press releases or filings ( $ 1304 ( d ) ) or in connection with buy or sell offers , proxy ... false registration state- ments , offering statements and annual ( 10 - K ) reports ( $ 1403 ) , other false filings by ...
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... false filings generally as well as false publicity as in Texas Gulf Sulphur , and ( b ) making certain that the elements of today's $ 11 would fit that right of action as expanded into $ 1403 . First of all , for convenience , the ...
... false filings generally as well as false publicity as in Texas Gulf Sulphur , and ( b ) making certain that the elements of today's $ 11 would fit that right of action as expanded into $ 1403 . First of all , for convenience , the ...
Էջ 30
... False filings and records 1304 No SEC approval 1305 False filings 1304 Codes of ethics , etc. Part XI , 1301 , 1311 False filings ; falsification 1304 and destruction of records No SEC approval 1305 Larceny and embezzle- ment Part XV ...
... False filings and records 1304 No SEC approval 1305 False filings 1304 Codes of ethics , etc. Part XI , 1301 , 1311 False filings ; falsification 1304 and destruction of records No SEC approval 1305 Larceny and embezzle- ment Part XV ...
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