Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 80–ի 1-ից 3-ը:
Էջ xvi
... ment Advisers VIII . Self - Regulatory Organizations IX . Market Regulation X. Trust Indentures XI . Investment Companies XII . Public Utility Holding Companies XIII . Deceptive and Manipulative Acts XIV . Civil Liability XV ...
... ment Advisers VIII . Self - Regulatory Organizations IX . Market Regulation X. Trust Indentures XI . Investment Companies XII . Public Utility Holding Companies XIII . Deceptive and Manipulative Acts XIV . Civil Liability XV ...
Էջ 87
... ment is filed before the 16 - month period expires . ( f ) Section 501 ( b ) ( 6 ) ( B ) is designed to limit the demand privilege to non - exempt distributions . ( c ) [ Contents of offering statement . ] An offering state- ment shall ...
... ment is filed before the 16 - month period expires . ( f ) Section 501 ( b ) ( 6 ) ( B ) is designed to limit the demand privilege to non - exempt distributions . ( c ) [ Contents of offering statement . ] An offering state- ment shall ...
Էջ 94
... ment omitted or not incorporated by reference ; ( 2 ) that before the effectiveness of the registra- tion statement , offering statement , or amendment , or the filing of the report ( as the case may be ) , ( A ) he resigned from or ...
... ment omitted or not incorporated by reference ; ( 2 ) that before the effectiveness of the registra- tion statement , offering statement , or amendment , or the filing of the report ( as the case may be ) , ( A ) he resigned from or ...
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