Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 61–ի 1-ից 3-ը:
Էջ 96
... reflected in Part XVI . And § 24 ( e ) ( 3 ) is or will be reflected in § 507 ( a ) ( 4 ) and ( 5 ) and Part XIV ( Civil Liability ) . ( 4 ) There need be no reference in § 506 ( b ) to war- rants or conversion privileges that are ...
... reflected in Part XVI . And § 24 ( e ) ( 3 ) is or will be reflected in § 507 ( a ) ( 4 ) and ( 5 ) and Part XIV ( Civil Liability ) . ( 4 ) There need be no reference in § 506 ( b ) to war- rants or conversion privileges that are ...
Էջ 60
... reflects Rule 10b - 6 in contrast to the broader application of $ 1308 ( c ) ( see Comment ( 3 ) to §1308 ( c ) ) , is ... reflected in §1308 ( d ) ( 1 ) ( C ) , extends to any security of the same issuer ; but there is no compelling ...
... reflects Rule 10b - 6 in contrast to the broader application of $ 1308 ( c ) ( see Comment ( 3 ) to §1308 ( c ) ) , is ... reflected in §1308 ( d ) ( 1 ) ( C ) , extends to any security of the same issuer ; but there is no compelling ...
Էջ 43
... reflected in $ 1518 , the general provision on jurisdiction and venue . ( 3 ) The last sentence of each of the source pro- visions in the Sec . Ex . , Holding Co. and Inv . Co. Acts , under which failure to obey a subpoena may be a mis ...
... reflected in $ 1518 , the general provision on jurisdiction and venue . ( 3 ) The last sentence of each of the source pro- visions in the Sec . Ex . , Holding Co. and Inv . Co. Acts , under which failure to obey a subpoena may be a mis ...
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