Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 84–ի 1-ից 3-ը:
Էջ xlv
... provisions refer to notice and opportunity for hear- ing - all of which is confusing in view of the general provisions in those three acts on opportunity for hearing . Another difficulty with those general provisions is that they may go ...
... provisions refer to notice and opportunity for hear- ing - all of which is confusing in view of the general provisions in those three acts on opportunity for hearing . Another difficulty with those general provisions is that they may go ...
Էջ
... provisions : There are separate provisions on churning ( §1306 ) , touting ( $ 1307 ) , manipulation ( $ 1308 ) , and stabilization ( §1309 ) . Particularly in the last two areas , the scheme of the draft is to codify basic principles ...
... provisions : There are separate provisions on churning ( §1306 ) , touting ( $ 1307 ) , manipulation ( $ 1308 ) , and stabilization ( §1309 ) . Particularly in the last two areas , the scheme of the draft is to codify basic principles ...
Էջ 26
... provisions ( and a few new ones ) that smack of fraud , misrepresentation or manip- ulation , as distinct from provisions like Rule 15c1-4 ( on confirmations ) or Sec . Ex . Act §9 ( b ) - ( d ) ( on puts and calls ) or Sec . Ex . Act ...
... provisions ( and a few new ones ) that smack of fraud , misrepresentation or manip- ulation , as distinct from provisions like Rule 15c1-4 ( on confirmations ) or Sec . Ex . Act §9 ( b ) - ( d ) ( on puts and calls ) or Sec . Ex . Act ...
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