Understanding Securities Law |
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Page 46
... tion that registration would disclose No in- formation specified Information Requirements No infor- mation specified In either a Rule 505 or 506 offering : 1. If purchased solely by accredited investors , no information specified . 2 ...
... tion that registration would disclose No in- formation specified Information Requirements No infor- mation specified In either a Rule 505 or 506 offering : 1. If purchased solely by accredited investors , no information specified . 2 ...
Page 81
... tion . " Because Section 4 ( 3 ) and Section 4 ( 4 ) exempt most transactions by broker - dealers , the problems that arise under Section 4 ( 1 ) generally involve underwriters . Underwriter status necessarily renders the Section 4 ( 1 ) ...
... tion . " Because Section 4 ( 3 ) and Section 4 ( 4 ) exempt most transactions by broker - dealers , the problems that arise under Section 4 ( 1 ) generally involve underwriters . Underwriter status necessarily renders the Section 4 ( 1 ) ...
Page 2
... tion ; SEC v . 83 Diamond v . Oreamuno 124 203 Dirks v . SEC ... 79 ; 146 ; 174 ; 175 ; 176 Doran v . Petroleum Management Corp. . . 35 ; 36 59 ; 60 Dresser Industries , Inc .; SEC v . . . . . 228 141 Dyer v . Eastern Trust & Banking Co ...
... tion ; SEC v . 83 Diamond v . Oreamuno 124 203 Dirks v . SEC ... 79 ; 146 ; 174 ; 175 ; 176 Doran v . Petroleum Management Corp. . . 35 ; 36 59 ; 60 Dresser Industries , Inc .; SEC v . . . . . 228 141 Dyer v . Eastern Trust & Banking Co ...
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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