ALI-ABA Course of Study on SEC Rule 144--Restricted Securities and Non-underwritten DistributionJoint committee on Continuing Legal Education of the American Law Institute and the American Bar Association, 1972 - Privately placed securities - 243 pages |
From inside the book
Results 1-3 of 47
Page 94
... CIONE : I do . MR . MANN : MR . Okay , John . CIONE : Alan , I would like to hear you afterwards so you do not lock me up in six months . I think it is completely unreasonable not to allow a holder of securities who has held the stock ...
... CIONE : I do . MR . MANN : MR . Okay , John . CIONE : Alan , I would like to hear you afterwards so you do not lock me up in six months . I think it is completely unreasonable not to allow a holder of securities who has held the stock ...
Page 127
... CIONE : I would suggest to broker - dealers that they document in their daily operating procedure indications of interest to buy securities , so that they can show a pattern of conduct or a pattern of doing business in the event they ...
... CIONE : I would suggest to broker - dealers that they document in their daily operating procedure indications of interest to buy securities , so that they can show a pattern of conduct or a pattern of doing business in the event they ...
Page 140
... Cione's phone rings , and somebody says , " I want to sell a thousand shares of ABC under Rule 144 , " then what does John Cione do ? What does he do ? How does he solve this question ? How do you know that the company is a reporting ...
... Cione's phone rings , and somebody says , " I want to sell a thousand shares of ABC under Rule 144 , " then what does John Cione do ? What does he do ? How does he solve this question ? How do you know that the company is a reporting ...
Contents
MORNING SESSION | 1 |
The Statutory Framework | 11 |
The Fungibility Doctrine | 24 |
Copyright | |
9 other sections not shown
Common terms and phrases
133 transaction 90 days ABA ALL ABA account executive affiliate aggregate amount of securities apply April 15 BIALKIN broker broker-dealer broker's transaction brokerage firm Bruce CAVALLARO cent change of circumstances CIONE client Commission compliance controlling person convertible securities Corporation counsel dealer disclosure effect exemption Ezra fact filed FITZPATRICK fungibility GARRETT going holding period indicated investment intent investors involved issue issuer legend MANN market maker market-maker Merrill Lynch NASDAQ no-action letter number of shares opinion paragraph pink sheets pledgee pledgor private placement problem prospectus provisions public offering purchased pursuant question Ray Garrett registration statement reporting company resale restricted securities restricted stock Section securities acquired Securities Act securities sold sell under Rule seller selling security shelf registration situation solicitation SOMMER staff suppose thing tion trading transfer agent underwriter unsolicited wants to sell WEISS York Stock Exchange