Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 42–ի 1-ից 3-ը:
Էջ 36
... [ Officer . ] " Officer " means ( a ) the chairman of the board of directors , president , principal executive officer , treasurer , secretary , controller , or principal accounting officer 36 § 268 Federal Securities Code (b) Limited ...
... [ Officer . ] " Officer " means ( a ) the chairman of the board of directors , president , principal executive officer , treasurer , secretary , controller , or principal accounting officer 36 § 268 Federal Securities Code (b) Limited ...
Էջ 38
... officer " does not in- clude " the chairman of the board of directors . " He is specifically included in Holding Co ... officer of a broker or dealer ; Holding Co. Act § 6 ( c ) ( 2 ) , which prohibits sales of a holding company's ...
... officer " does not in- clude " the chairman of the board of directors . " He is specifically included in Holding Co ... officer of a broker or dealer ; Holding Co. Act § 6 ( c ) ( 2 ) , which prohibits sales of a holding company's ...
Էջ 39
... officers , on the one hand , and the obligor or underwriters , on the other , so as to provide that the term " executive officer " should include " a chair- man of the board of directors who performs the func- tions of an executive officer ...
... officers , on the one hand , and the obligor or underwriters , on the other , so as to provide that the term " executive officer " should include " a chair- man of the board of directors who performs the func- tions of an executive officer ...
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