Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 2000 - Securities |
From inside the book
Results 1-3 of 39
Page 16-148
... noted , " persuasively demonstrates [ that ] the stat- ute's language does not support the Court's reading . ” 45 First , the Court's " backward reading " of the statute— “ proceeding from § 10 to § 2 ( 10 ) and not the other way round ...
... noted , " persuasively demonstrates [ that ] the stat- ute's language does not support the Court's reading . ” 45 First , the Court's " backward reading " of the statute— “ proceeding from § 10 to § 2 ( 10 ) and not the other way round ...
Page 16-162
... noted , " Blau held that a §16 ( b ) suit could be maintained by a customer , but it did not hold that the broker , in whose name the pur- chase was made , could not sue under §16 ( b ) . " The court then turned defendant's authority ...
... noted , " Blau held that a §16 ( b ) suit could be maintained by a customer , but it did not hold that the broker , in whose name the pur- chase was made , could not sue under §16 ( b ) . " The court then turned defendant's authority ...
Page 16-188
... noted , these defendants allegedly were responsible for determining which potential bidders would be offered the opportuni- ty to review the offering memorandum and bid , and ultimately decid- ed which bidders were to be allowed to ...
... noted , these defendants allegedly were responsible for determining which potential bidders would be offered the opportuni- ty to review the offering memorandum and bid , and ultimately decid- ed which bidders were to be allowed 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