Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 82–ի 1-ից 3-ը:
Էջ 68
... purchase ) the Commission con- siders necessary and material to a determination whether the security should be sold . For purposes of this subsection , a purchase by an issuer's parent , subsidiary , or sister com- pany , or a purchase ...
... purchase ) the Commission con- siders necessary and material to a determination whether the security should be sold . For purposes of this subsection , a purchase by an issuer's parent , subsidiary , or sister com- pany , or a purchase ...
Էջ 130
... Purchase " and " sale . " ] ( 1 ) Sections 293 ( f ) ( 4 ) and 293 ( g ) ( 1 ) , ( 4 ) , and ( 6 ) do not apply for purposes of this section . ( 2 ) A bona fide gift of a security does not involve a purchase or sale for purposes of this ...
... Purchase " and " sale . " ] ( 1 ) Sections 293 ( f ) ( 4 ) and 293 ( g ) ( 1 ) , ( 4 ) , and ( 6 ) do not apply for purposes of this section . ( 2 ) A bona fide gift of a security does not involve a purchase or sale for purposes of this ...
Էջ 131
... purchase ( or sale ) of ( A ) a convertible secu- rity , ( B ) a warrant or right to subscribe to or purchase a security , ( C ) a security that disappears in one of the occurrences specified in section 293 ( f ) ( 3 ) , or ( D ) a ...
... purchase ( or sale ) of ( A ) a convertible secu- rity , ( B ) a warrant or right to subscribe to or purchase a security , ( C ) a security that disappears in one of the occurrences specified in section 293 ( f ) ( 3 ) , or ( D ) a ...
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