Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 59–ի 1-ից 3-ը:
Էջ xliii
... result at best is a lack of symmetry and at worst is the unnecessary creation of negative implications . The treatment of the phrase in the Code is as follows : ( a ) Insofar as provisions outlawing specified conduct typically make it ...
... result at best is a lack of symmetry and at worst is the unnecessary creation of negative implications . The treatment of the phrase in the Code is as follows : ( a ) Insofar as provisions outlawing specified conduct typically make it ...
Էջ 83
... resulting from his offer ( or for an underwriter , broker , or dealer in connection with a distribution by any person ) ... result in a dis- tribution . ( 3 ) The blank reference at the end is to a general investigatory provision that will ...
... resulting from his offer ( or for an underwriter , broker , or dealer in connection with a distribution by any person ) ... result in a dis- tribution . ( 3 ) The blank reference at the end is to a general investigatory provision that will ...
Էջ
... result . The successor provisions , §§1401-02 , treat the two types of transactions separately , so that , if a transaction is effected in a manner that would make the matching of buyers and sellers substan- tially fortuitous , all ...
... result . The successor provisions , §§1401-02 , treat the two types of transactions separately , so that , if a transaction is effected in a manner that would make the matching of buyers and sellers substan- tially fortuitous , all ...
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