Understanding Securities Law |
From inside the book
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Page 73
... result of two different reporting mandates under the 1933 Act and the 1934 Act . In seeking to make disclosure as uniform as practicable under the two Acts , the SEC promulgated Regulation S - K and Regulation S - X ( accounting rules ) ...
... result of two different reporting mandates under the 1933 Act and the 1934 Act . In seeking to make disclosure as uniform as practicable under the two Acts , the SEC promulgated Regulation S - K and Regulation S - X ( accounting rules ) ...
Page 165
... result or constitute a step in a chain of communications ultimately to accomplish such a result.44 Although this standard may result in uncertain application , the breadth of the proxy provisions can be very wide to encompass such ...
... result or constitute a step in a chain of communications ultimately to accomplish such a result.44 Although this standard may result in uncertain application , the breadth of the proxy provisions can be very wide to encompass such ...
Page 237
... result in his or her being held liable as an aider and abettor under the Model Rules , the federal securities laws , and state law.87 The Model Rules make clear that a lawyer has discretion to reveal to third parties information ...
... result in his or her being held liable as an aider and abettor under the Model Rules , the federal securities laws , and state law.87 The Model Rules make clear that a lawyer has discretion to reveal to third parties information ...
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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