Understanding Securities Law |
From inside the book
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Page 74
... Forms S - 2 and S - 3 : The registration statement for the first category is Form S - 1 . It requires complete disclosure to be set forth in the prospectus and permits no incorporation by reference . Form S - 1 is to be used by ...
... Forms S - 2 and S - 3 : The registration statement for the first category is Form S - 1 . It requires complete disclosure to be set forth in the prospectus and permits no incorporation by reference . Form S - 1 is to be used by ...
Page 75
... Form S - 3 prospectus [ which can be used in certain equity offerings by issuers which have $ 150 million of voting stock outstanding held by non - affiliates ( " float " ) or have at least a $ 100 million float and 3 million share ...
... Form S - 3 prospectus [ which can be used in certain equity offerings by issuers which have $ 150 million of voting stock outstanding held by non - affiliates ( " float " ) or have at least a $ 100 million float and 3 million share ...
Page 193
... Form 10 - K , quarterly reports on Form 10 - Q and current reports on Form 8 - K . The regulations which mandate the filing of these reports are fairly specific as to what is required to be disclosed in the various line items . For example ...
... Form 10 - K , quarterly reports on Form 10 - Q and current reports on Form 8 - K . The regulations which mandate the filing of these reports are fairly specific as to what is required to be disclosed in the various line items . For example ...
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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