Understanding Securities Law |
From inside the book
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Page 42
... requirement from future use of Regulation D. New Rule 508 provides that an exemption from the registration requirements will be available for an offer or sale to a particular individual or entity , despite failure to comply with a ...
... requirement from future use of Regulation D. New Rule 508 provides that an exemption from the registration requirements will be available for an offer or sale to a particular individual or entity , despite failure to comply with a ...
Page 92
... requirements pertain only to restricted securities . In order to utilize Rule 144 a person must meet five general requirements , some of which have been eliminated or substantially modified by the SEC in certain circumstances . First ...
... requirements pertain only to restricted securities . In order to utilize Rule 144 a person must meet five general requirements , some of which have been eliminated or substantially modified by the SEC in certain circumstances . First ...
Page 264
... requirements of § 5 of the Securities Act . The requirements for perfecting the § 4 ( 2 ) exemption are detailed . There is no monetary limit to the amount of funds that can be raised under this exemption . See Private Offering ...
... requirements of § 5 of the Securities Act . The requirements for perfecting the § 4 ( 2 ) exemption are detailed . There is no monetary limit to the amount of funds that can be raised under this exemption . See Private Offering ...
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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