Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 53–ի 1-ից 3-ը:
Էջ 17
... permit a limited offering and trading transactions to go on con- currently on the theory that they are separate " offer- ings . " But this is not to say that the buyer in a limited offering may immediately dispose of the securities in ...
... permit a limited offering and trading transactions to go on con- currently on the theory that they are separate " offer- ings . " But this is not to say that the buyer in a limited offering may immediately dispose of the securities in ...
Էջ 42
... permit such a person simply to trade in his wife's name ( unless he were to be liable as " tipper " ) . " Everything else being equal , one may expect the courts to be more strict with direct " tippees . ' But there are too many factual ...
... permit such a person simply to trade in his wife's name ( unless he were to be liable as " tipper " ) . " Everything else being equal , one may expect the courts to be more strict with direct " tippees . ' But there are too many factual ...
Էջ 61
... permit the customary extra com- pensation that is paid in conventional distributions . through underwriters . On the other hand , Clause ( i ) of $ 1308 ( d ) ( 1 ) ( C ) is stricter than Rule 10b - 2 in that it categorically prohibits ...
... permit the customary extra com- pensation that is paid in conventional distributions . through underwriters . On the other hand , Clause ( i ) of $ 1308 ( d ) ( 1 ) ( C ) is stricter than Rule 10b - 2 in that it categorically prohibits ...
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