Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 2000 - Securities |
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Results 1-3 of 95
Page 16-60
... Section 12 ( a ) ( 1 ) only once . In 1954 , the words " offers or " were placed in front of the word " sells . " 3 The amendment was not intended to alter the meaning of Section 12 , but was to reflect a concurrent amendment to Section ...
... Section 12 ( a ) ( 1 ) only once . In 1954 , the words " offers or " were placed in front of the word " sells . " 3 The amendment was not intended to alter the meaning of Section 12 , but was to reflect a concurrent amendment to Section ...
Page 16-134
... Section 12 ( a ) ( 2 ) .5 Only securities that meet the requirements of Section 3 ( a ) ( 2 ) escape the reach of Section 12 ( a ) ( 2 ) .6 Section 12 ( a ) ( 2 ) provides protection for defrauded buyers ; defraud- ed sellers must look ...
... Section 12 ( a ) ( 2 ) .5 Only securities that meet the requirements of Section 3 ( a ) ( 2 ) escape the reach of Section 12 ( a ) ( 2 ) .6 Section 12 ( a ) ( 2 ) provides protection for defrauded buyers ; defraud- ed sellers must look ...
Page 16-135
... Section 12 ( a ) ( 2 ) will escape liability if plaintiff knew the truth , 10 or if the alleged misstatement or nondisclo- sure is not material.11 A seller's principal defense is set forth in the provision and requires the defendant to ...
... Section 12 ( a ) ( 2 ) will escape liability if plaintiff knew the truth , 10 or if the alleged misstatement or nondisclo- sure is not material.11 A seller's principal defense is set forth in the provision and requires the defendant to ...
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Common terms and phrases
1990 Transfer Binder 1A CCH 2d Cir 5th Cir A.G. Edwards action alleged Alloyd American apply arbitration Assocs broker-dealer buyer civil liability claim Code Ann Commission communication consideration paid court found Dahl Dean Witter Reynolds defendant defendant's delivery disclosure district court E.F. Hutton equitable tolling exemption federal fraud fraudulent Fund Indus infra Int'l interest interpretation investment investors issue issuer Jefferies & Co Litig mails material fact Merrill Lynch misrepresentations N.D. Cal N.D. Ill Nat'l Bank offer or sale offeror omission opinion pari delicto parties Partnership person Pinter plaintiff provisions public offering purchaser reasonable registration statement remedy rescission offer Rule S.E.C. Docket Section 12 sections and footnotes Securities Act securities laws Sept shares solicitation Stat statute of limitations Supp supra Supreme Court tender tion transaction Transfer Binder Trust underwriter violation of Section Wilko