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 41
Page 16-82
... participation " test that focused on the relationship between the collateral participant and the actual owner who passed title of the security to the purchaser and on the nature of the participant's activi- ty in connection with the ...
... participation " test that focused on the relationship between the collateral participant and the actual owner who passed title of the security to the purchaser and on the nature of the participant's activi- ty in connection with the ...
Page 16-85
... participants , as it did in Section 11 , it had no difficulty doing so.10 Moreover , the Court pointed to the phrase ... participation qualified a person for seller status , ad- ding that " logically sound limitations would be difficult ...
... participants , as it did in Section 11 , it had no difficulty doing so.10 Moreover , the Court pointed to the phrase ... participation qualified a person for seller status , ad- ding that " logically sound limitations would be difficult ...
Page 89
... participate in a secondary distribution , 9.03 [ 3 ] [ b ] [ iii ] Participation as basis for applying Section2 ( a ) ( 11 ) , 9.03 [ 3 ] [ b ] [ iii ] [ A ] Participation as basis for denying Section 4 ( 1 ) exemptions , 9.03 [ 3 ] [ b ] ...
... participate in a secondary distribution , 9.03 [ 3 ] [ b ] [ iii ] Participation as basis for applying Section2 ( a ) ( 11 ) , 9.03 [ 3 ] [ b ] [ iii ] [ A ] Participation as basis for denying Section 4 ( 1 ) exemptions , 9.03 [ 3 ] [ b ] ...
Other editions - View all
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