Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 84–ի 1-ից 3-ը:
Էջ 141
... respect only to equity securities ; Holding Co. Act § 17 ( a ) requires filing with respect to all securities ; and Inv . Co. Act § 30 ( f ) re- quires filing with respect to all securities except short- term paper . There are also ...
... respect only to equity securities ; Holding Co. Act § 17 ( a ) requires filing with respect to all securities ; and Inv . Co. Act § 30 ( f ) re- quires filing with respect to all securities except short- term paper . There are also ...
Էջ 142
... respect to pur- chases and sales by holding companies . Moreover , since it is not likely that a registered holding company would not also be caught by § 401 ( successor to Sec . Ex . Act § 12 ( g ) ) , holders of more than 10 % would ...
... respect to pur- chases and sales by holding companies . Moreover , since it is not likely that a registered holding company would not also be caught by § 401 ( successor to Sec . Ex . Act § 12 ( g ) ) , holders of more than 10 % would ...
Էջ 132
... respect to the issuer under $ 1403 but with respect to any insolvent defendant under the Code gen- erally . Even if the proposed $ 4-406 of the Bankruptcy Act of 1973 becomes law , it will still be well to include $ 1602 ( d ) ( 2 ) for ...
... respect to the issuer under $ 1403 but with respect to any insolvent defendant under the Code gen- erally . Even if the proposed $ 4-406 of the Bankruptcy Act of 1973 becomes law , it will still be well to include $ 1602 ( d ) ( 2 ) for ...
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