Understanding Securities Law |
From inside the book
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Page 21
... Circuit ( ruling on a summary judgment motion ) held that these interests were not securities and could not pass the Howey test . [ a ] " Solely from the Efforts of Others " One of the issues often present in determining whether limited ...
... Circuit ( ruling on a summary judgment motion ) held that these interests were not securities and could not pass the Howey test . [ a ] " Solely from the Efforts of Others " One of the issues often present in determining whether limited ...
Page 89
... Circuit held that the bank was an underwriter . Even though the bank may have taken the securities as collateral and had not directly dealt with the issuer , " the bank knew that [ it ] had been given unregistered stock and that the ...
... Circuit held that the bank was an underwriter . Even though the bank may have taken the securities as collateral and had not directly dealt with the issuer , " the bank knew that [ it ] had been given unregistered stock and that the ...
Page 178
... Circuit rejected the Shapiro analysis . Disagreeing with the Second Circuit , the Fridrich court found that the plaintiffs had failed to show that their loss was caused by the defendants ' inside trading . The Sixth Circuit supported ...
... Circuit rejected the Shapiro analysis . Disagreeing with the Second Circuit , the Fridrich court found that the plaintiffs had failed to show that their loss was caused by the defendants ' inside trading . The Sixth Circuit supported ...
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2d Cir 7th Cir accredited investors Act registration affiliates amended apply BarChris broker-dealers brokers business judgment rule Commission conduct Congress context controlling person Corp corporate damages dealer decision defense directors disclosure system discussed distribution due diligence effective enforcement exemption from registration federal securities laws filing fraud Hence infra injunction insider trading integrated disclosure interest investment investors issue issuer liability limited material merger Moreover non-affiliates offeror pari delicto permitted plaintiff post-effective period pre-filing private right prohibits promulgated provides proxy public offering purchase registered offering registration statement Regulation D reliance remedy resale restricted securities right of action S.Ct safe harbor Schedule 13D scienter SEC Rule SEC's Section 10(b Section 11 Securities Act Release Securities Exchange Act sell seller shareholders shares Shelf Registration solicitation standard statute statutory Steinberg subpoena Supp supra note Supreme Court takeover target tender offer tion Transfer Binder underwriter violation Williams Act