Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 2000 - Securities |
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Page 16-184
... issuers and their officers who prepare and disseminate a materially false and misleading prospectus in a registered offering . 19 As the Fifth Circuit observed in suggesting that an issuer of bonds might be a Section 12 ( a ) seller ...
... issuers and their officers who prepare and disseminate a materially false and misleading prospectus in a registered offering . 19 As the Fifth Circuit observed in suggesting that an issuer of bonds might be a Section 12 ( a ) seller ...
Page 34
J. William Hicks. References are to sections Investment bankers As purchasers from issuers with a view to distribution , 9.02 [ 2 ] [ b ] [ i ] [ A ] As sellers for issuers , 9.02 [ 3 ] [ b ] [ i ] Investment businesses Nature of issuer ...
J. William Hicks. References are to sections Investment bankers As purchasers from issuers with a view to distribution , 9.02 [ 2 ] [ b ] [ i ] [ A ] As sellers for issuers , 9.02 [ 3 ] [ b ] [ i ] Investment businesses Nature of issuer ...
Page 74
... issuer , 3.03 [ 3 ] [ c ] Transferor as issuer but not debtor , 3.03 [ 3 ] [ b ] Affiliates , 3.03 [ 3 ] [ b ] [ i ] Nonaffiliates , 3.03 [ 3 ] [ b ] [ ii ] Transferor as neither issuer nor debtor , 3.03 [ 3 ] [ d ] Transfers outside ...
... issuer , 3.03 [ 3 ] [ c ] Transferor as issuer but not debtor , 3.03 [ 3 ] [ b ] Affiliates , 3.03 [ 3 ] [ b ] [ i ] Nonaffiliates , 3.03 [ 3 ] [ b ] [ ii ] Transferor as neither issuer nor debtor , 3.03 [ 3 ] [ d ] Transfers outside ...
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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