Understanding Securities Law |
From inside the book
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Page 31
... Moreover , experts are potentially liable under Section 11 only for those portions of the registration statement which they " expertised . " They can avoid Section 11 liability by showing that , with respect to the expertised portions ...
... Moreover , experts are potentially liable under Section 11 only for those portions of the registration statement which they " expertised . " They can avoid Section 11 liability by showing that , with respect to the expertised portions ...
Page 102
... Moreover , parent corporations that cause their subsidiaries to engage in such practices are deemed to be " underwriters . " 47 Defendants , charged with failing to register a " spin - off " offering , have asserted that the stock ...
... Moreover , parent corporations that cause their subsidiaries to engage in such practices are deemed to be " underwriters . " 47 Defendants , charged with failing to register a " spin - off " offering , have asserted that the stock ...
Page 188
... Moreover , the rules and other pronouncements of the self - regulatory organizations ( SROs ) , including the New York and American Stock Exchanges , impose affirmative and timely disclosure requirements that are more rigorous than ...
... Moreover , the rules and other pronouncements of the self - regulatory organizations ( SROs ) , including the New York and American Stock Exchanges , impose affirmative and timely disclosure requirements that are more rigorous than ...
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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