Understanding Securities Law |
From inside the book
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Page 30
... registration statement must be filed with the Securities and Exchange Commission . In addition , the statutory prospectus , which is part of the registration statement , must be provided to the purchaser at the time that the security is ...
... registration statement must be filed with the Securities and Exchange Commission . In addition , the statutory prospectus , which is part of the registration statement , must be provided to the purchaser at the time that the security is ...
Page 104
... registration statement ( including the prospectus which comprises part of the registration statement ) contains materially false or misleading statements . In view of the above , investors under certain conditions may recover their ...
... registration statement ( including the prospectus which comprises part of the registration statement ) contains materially false or misleading statements . In view of the above , investors under certain conditions may recover their ...
Page 107
... registration statement , may avoid liability by taking the action specified in Section 11 ( b ) ( 1 ) or ( 2 ) , namely : ( 1 ) Before the effective date of the registration statement or part thereof in question , he or she ( 1 ) ...
... registration statement , may avoid liability by taking the action specified in Section 11 ( b ) ( 1 ) or ( 2 ) , namely : ( 1 ) Before the effective date of the registration statement or part thereof in question , he or she ( 1 ) ...
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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