Understanding Securities Law |
From inside the book
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Page 34
... held non - managerial positions . The Supreme Court , observing that the burden of proving the perfection of an exemption from registration is upon the party relying upon the availability of such an exemption , held that the company had ...
... held non - managerial positions . The Supreme Court , observing that the burden of proving the perfection of an exemption from registration is upon the party relying upon the availability of such an exemption , held that the company had ...
Page 174
... held that insiders disclose material facts which are known to them by virtue of their position but which are not known to persons with whom they deal and which , if known , would affect their investment judgment . " Significantly , the ...
... held that insiders disclose material facts which are known to them by virtue of their position but which are not known to persons with whom they deal and which , if known , would affect their investment judgment . " Significantly , the ...
Page 272
... held issuers under § 15 ( d ) . See § 15 ( d ) ; Forms 8 - K , 10 - K , 10 - Q . Section 13 ( b ) ( 2 ) Generally requires publicly - held issuers to maintain reasonably accurate books and records and internal accounting controls . This ...
... held issuers under § 15 ( d ) . See § 15 ( d ) ; Forms 8 - K , 10 - K , 10 - Q . Section 13 ( b ) ( 2 ) Generally requires publicly - held issuers to maintain reasonably accurate books and records and internal accounting controls . This ...
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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