Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 73–ի 1-ից 3-ը:
Էջ xxxix
... fraud and manipulation , where we could gather in one place all of the many anti - fraud and anti - manipulation provisions we now have ; 6 , civil liability generally ; 7 , registration of brokers and deal- ers and investment advisers ...
... fraud and manipulation , where we could gather in one place all of the many anti - fraud and anti - manipulation provisions we now have ; 6 , civil liability generally ; 7 , registration of brokers and deal- ers and investment advisers ...
Էջ
... fraud and manipulation provisions : There are separate provisions on churning ( §1306 ) , touting ( $ 1307 ) , manipulation ( $ 1308 ) , and stabilization ( §1309 ) . Particularly in the last two areas , the scheme of the draft is to ...
... fraud and manipulation provisions : There are separate provisions on churning ( §1306 ) , touting ( $ 1307 ) , manipulation ( $ 1308 ) , and stabilization ( §1309 ) . Particularly in the last two areas , the scheme of the draft is to ...
Էջ 29
... Fraud in purchase or 225 , 1301 , 1308 sale Purchase by issuer 1301 , 1303 , 1311 Tender requests 225 , 259 , 1301 , 1311 Fraudulent practices by 225 , 1301 , 1308 broker - dealers Same fictitious 225 , 1301 , 1308 , quotations 1311 ...
... Fraud in purchase or 225 , 1301 , 1308 sale Purchase by issuer 1301 , 1303 , 1311 Tender requests 225 , 259 , 1301 , 1311 Fraudulent practices by 225 , 1301 , 1308 broker - dealers Same fictitious 225 , 1301 , 1308 , quotations 1311 ...
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