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 96
Page 16-22
... violations and the possibility of litigation as a contingent liability . A second option is to disclose the existence of the violation and proceed with additional securities sales to persons who would also be informed of the problem ...
... violations and the possibility of litigation as a contingent liability . A second option is to disclose the existence of the violation and proceed with additional securities sales to persons who would also be informed of the problem ...
Page 16-65
... violation of section 5. " Thus , the plaintiff must allege and prove that the relevant transaction failed to meet the registration and prospectus delivery requirements of Section 5.2 Con- duct in violation of Section 5 falls roughly ...
... violation of section 5. " Thus , the plaintiff must allege and prove that the relevant transaction failed to meet the registration and prospectus delivery requirements of Section 5.2 Con- duct in violation of Section 5 falls roughly ...
Page 16-107
... Violation Section 12 ( a ) limits enforcement of a Section 12 ( a ) ( 1 ) action to a period of " one year after the violation upon which it is based . " Section 5 violations can occur in connection with the offer , sale , or delivery ...
... Violation Section 12 ( a ) limits enforcement of a Section 12 ( a ) ( 1 ) action to a period of " one year after the violation upon which it is based . " Section 5 violations can occur in connection with the offer , sale , or delivery ...
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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