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 98
Page 16-73
... Persons Having Standing to Sue [ a ] Introduction Section 12 ( a ) ( 1 ) states that any person who offers or sells a security in violation of Section 5 shall be liable to " the person purchasing such security " from him . Thus ...
... Persons Having Standing to Sue [ a ] Introduction Section 12 ( a ) ( 1 ) states that any person who offers or sells a security in violation of Section 5 shall be liable to " the person purchasing such security " from him . Thus ...
Page 16-98
... person or by independent inducements . Section 12 ( a ) ( 1 ) liability will attach to persons who solicit securities purchases only where the solicitor is motivated " at least in part " by a desire to serve his own or the securities ...
... person or by independent inducements . Section 12 ( a ) ( 1 ) liability will attach to persons who solicit securities purchases only where the solicitor is motivated " at least in part " by a desire to serve his own or the securities ...
Page 16-175
... person must do more than merely assist in another's solicitation efforts.33 The defendant must be the one who " solicits , a term that the Supreme Court equates with “ urges . ” 34 31 Id . at 651. The Court determined that the ...
... person must do more than merely assist in another's solicitation efforts.33 The defendant must be the one who " solicits , a term that the Supreme Court equates with “ urges . ” 34 31 Id . at 651. The Court determined that the ...
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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