Understanding Securities Law |
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Page 71
... underwriting syndicate and dealer group . The syndicate is headed by the main underwriter or main underwriters ( there , for example , may be three main underwriters in a fairly large offering ) . These underwriters generally are the ...
... underwriting syndicate and dealer group . The syndicate is headed by the main underwriter or main underwriters ( there , for example , may be three main underwriters in a fairly large offering ) . These underwriters generally are the ...
Page 81
... underwriter or dealer . " Hence , the Section 4 ( 1 ) exemption permits individual investors to resell their securities without registration , provided such resales are viewed as ... Underwriter" [A] The Presumptive Underwriter Doctrine.
... underwriter or dealer . " Hence , the Section 4 ( 1 ) exemption permits individual investors to resell their securities without registration , provided such resales are viewed as ... Underwriter" [A] The Presumptive Underwriter Doctrine.
Page 83
... underwriter doctrine.2 Under the presumptive underwriter doctrine , one who purchases more than 10 % of the securities offered in a registered offering may be deemed an underwriter unless such person establishes sufficient investment ...
... underwriter doctrine.2 Under the presumptive underwriter doctrine , one who purchases more than 10 % of the securities offered in a registered offering may be deemed an underwriter unless such person establishes sufficient investment ...
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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