Understanding Securities Law |
From inside the book
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Page 141
... plaintiff purchased bonds without reading the offering circular . He alleged in a Section 10 ( b ) cause of action that the defendants had perpetrated a fraudulent scheme on the investment community by bringing unmarketable securities ...
... plaintiff purchased bonds without reading the offering circular . He alleged in a Section 10 ( b ) cause of action that the defendants had perpetrated a fraudulent scheme on the investment community by bringing unmarketable securities ...
Page 142
Marc I. Steinberg. courts have altered the plaintiff's due diligence burden . Rather than mandating that the plaintiff establish due care , these courts now require that such plaintiff's burden simply is to negate that he or she acted ...
Marc I. Steinberg. courts have altered the plaintiff's due diligence burden . Rather than mandating that the plaintiff establish due care , these courts now require that such plaintiff's burden simply is to negate that he or she acted ...
Page 146
... plaintiff's role in the offer or sale of the securities is more that of a promoter than an investor . Whether a plaintiff primarily is an investor or a promoter depends on several factors , such as the extent of the plaintiff's ...
... plaintiff's role in the offer or sale of the securities is more that of a promoter than an investor . Whether a plaintiff primarily is an investor or a promoter depends on several factors , such as the extent of the plaintiff's ...
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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