Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 80–ի 1-ից 3-ը:
Էջ 118
... material . ] A report may contain material that is not required . ( c ) [ Time of filing . ] A report required to be filed shall be filed at whatever time the Commission specifies by rule , except that it may not require that optional ...
... material . ] A report may contain material that is not required . ( c ) [ Time of filing . ] A report required to be filed shall be filed at whatever time the Commission specifies by rule , except that it may not require that optional ...
Էջ 143
... material after the initial offer , request , or invitation shall contain whatever information the Commission pre- scribes by rule and shall be filed not later than the first pub- lication or use of the material . SOURCE : Sec . Ex . Act ...
... material after the initial offer , request , or invitation shall contain whatever information the Commission pre- scribes by rule and shall be filed not later than the first pub- lication or use of the material . SOURCE : Sec . Ex . Act ...
Էջ 200
... material , because of ( a ) his required dissemination or other publica- tion of his own or another person's material ( in- cluding any publication of another person's mate- rial pursuant to an alternative requirement of such ...
... material , because of ( a ) his required dissemination or other publica- tion of his own or another person's material ( in- cluding any publication of another person's mate- rial pursuant to an alternative requirement of such ...
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 codifies Commis Commission Commission's concept convertible securities corporation court deceptive act defendant defined definition deleted directors disclosure distribution statement draft effective equity securities exchange exemption extent fact false filings federal fraud HERBERT WECHSLER holding company investment adviser investment company investors issuer jurisdiction limited offering Loss manipulation measure of damages ment misrepresentation NASD offering statement one-year registrant pany pari delicto person plaintiff prospectus purchase purposes pursuant reasonable reference registration statement rescission respect rule or order rule-making rulemaking authority scienter Securities Act security holders sell seller source provisions statutes stockholders substantially Supp tender request tion trading transactions Trust Ind underwriter unlawful violation York