Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 94–ի 1-ից 3-ը:
Էջ 77
Tentative Draft American Law Institute. PART IV . ISSUER REGISTRATION Sec . 401. [ Issuers with publicly held securities . ] ( a ) [ Registration requirement . ] An issuer ( unless it is already a registrant ) shall file a registration ...
Tentative Draft American Law Institute. PART IV . ISSUER REGISTRATION Sec . 401. [ Issuers with publicly held securities . ] ( a ) [ Registration requirement . ] An issuer ( unless it is already a registrant ) shall file a registration ...
Էջ 94
... [ Issuer's duty to furnish prospectuses to brokers and dealers . ] On demand made upon the issuer by a broker or dealer during the period specified in section 511 ( b ) ( 2 ) , the issuer shall furnish a reasonable number of copies of the ...
... [ Issuer's duty to furnish prospectuses to brokers and dealers . ] On demand made upon the issuer by a broker or dealer during the period specified in section 511 ( b ) ( 2 ) , the issuer shall furnish a reasonable number of copies of the ...
Էջ 114
... issuer . If the issuer is a one - year registrant , there is the 511 ( f ) exemption for the " distribution " inher- ent in the continuing offer to the holders of the warrants or the convertible securities . If the issuer is not a one ...
... issuer . If the issuer is a one - year registrant , there is the 511 ( f ) exemption for the " distribution " inher- ent in the continuing offer to the holders of the warrants or the convertible securities . If the issuer is not a one ...
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