Understanding Securities Law |
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Page 103
Marc I. Steinberg. DUE DILIGENCE AND SECURITIES ACT LIABILITY § 6.01 Introduction This chapter addresses the concept of due diligence , liability consequences , and other ramifications in both registered and unregistered offerings . The ...
Marc I. Steinberg. DUE DILIGENCE AND SECURITIES ACT LIABILITY § 6.01 Introduction This chapter addresses the concept of due diligence , liability consequences , and other ramifications in both registered and unregistered offerings . The ...
Page 110
... Due Diligence in the Registered Offering Context As an initial matter , it should be pointed out ( see § 3.01 , supra ) that , strictly speaking , due diligence is a defense that may be asserted by the subject party rather than an ...
... Due Diligence in the Registered Offering Context As an initial matter , it should be pointed out ( see § 3.01 , supra ) that , strictly speaking , due diligence is a defense that may be asserted by the subject party rather than an ...
Page 111
... due diligence obligations , reasonable investigation still requires affirmative action . Hence , even outside directors must endeavor to make some type of an independent verification of the information contained in the registration ...
... due diligence obligations , reasonable investigation still requires affirmative action . Hence , even outside directors must endeavor to make some type of an independent verification of the information contained in the registration ...
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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