Understanding Securities Law |
From inside the book
Results 1-3 of 29
Page 105
... means of a deficient registration statement in a particular offering , but that they in fact did purchase such shares pursuant to that specific offering ( and registration statement ) . Given the practical difficulties of " tracing ...
... means of a deficient registration statement in a particular offering , but that they in fact did purchase such shares pursuant to that specific offering ( and registration statement ) . Given the practical difficulties of " tracing ...
Page 122
... means of the prospectus alleged to be misleading . . . . It is enough that the seller sold by means of a misleading prospectus securities of which those purchased by the plaintiff were a part.46 It may be , however , that a different ...
... means of the prospectus alleged to be misleading . . . . It is enough that the seller sold by means of a misleading prospectus securities of which those purchased by the plaintiff were a part.46 It may be , however , that a different ...
Page 162
... means or instruments of transportation or communica- tion in interstate commerce or by the use of the mails , directly or indirectly - ( 1 ) to employ any device , scheme , or artifice to defraud , or ( 2 ) to obtain money or property ...
... means or instruments of transportation or communica- tion in interstate commerce or by the use of the mails , directly or indirectly - ( 1 ) to employ any device , scheme , or artifice to defraud , or ( 2 ) to obtain money or property ...
Other editions - View all
Common terms and phrases
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