Understanding Securities Law |
From inside the book
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Page 93
... transaction [ s ] . " 33 Moreover , the broker must receive no more than the usual and customary broker's commission . Finally , notice of each sale must be filed with the SEC . The " brokers ' transactions " requirement referred to ...
... transaction [ s ] . " 33 Moreover , the broker must receive no more than the usual and customary broker's commission . Finally , notice of each sale must be filed with the SEC . The " brokers ' transactions " requirement referred to ...
Page 185
... transaction nor will they ascertain his or her access to or use of inside information . Consequently , any transaction that can be viewed as a " purchase " or " sale " and brought within the ambit of the statute will result in liability ...
... transaction nor will they ascertain his or her access to or use of inside information . Consequently , any transaction that can be viewed as a " purchase " or " sale " and brought within the ambit of the statute will result in liability ...
Page 198
... transaction ; ( 4 ) disclosure of the source and total amount of funds for the transaction , an estimation of anticipated expenses , a summary of any loan agreements , and arrangements to finance and repay loans ; and ( 5 ) disclosure ...
... transaction ; ( 4 ) disclosure of the source and total amount of funds for the transaction , an estimation of anticipated expenses , a summary of any loan agreements , and arrangements to finance and repay loans ; and ( 5 ) disclosure ...
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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