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 |
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Page x
Impact of the New Rules as Viewed by the Issuer's Counsel Ray Garrett , Jr. Issuer's Problems under the New Rules Bruce Alan Mann , Moderator Ray Garrett , Jr .; John P. Cione ; Kenneth J. Bialkin ; A. A. Sommer , Jr .: Francis M. Wheat ...
Impact of the New Rules as Viewed by the Issuer's Counsel Ray Garrett , Jr. Issuer's Problems under the New Rules Bruce Alan Mann , Moderator Ray Garrett , Jr .; John P. Cione ; Kenneth J. Bialkin ; A. A. Sommer , Jr .: Francis M. Wheat ...
Page 69
... GARRETT : That is not for compliance with Section 5 , MR . CIONE : No , that is just good business practice . That is generally what it is done for . MR . GARRETT : after market . MR . BIALKIN : Yes , that is to keep a lot of sales off ...
... GARRETT : That is not for compliance with Section 5 , MR . CIONE : No , that is just good business practice . That is generally what it is done for . MR . GARRETT : after market . MR . BIALKIN : Yes , that is to keep a lot of sales off ...
Page 174
... GARRETT : So you do not think that you are bound to look back ? MR . BIALKIN : or not maybe there was ago ? MR . GARRETT : year , but he has filed yes . You mean look back 120 days to see whether a 10 - Q 120 days or two and a half ...
... GARRETT : So you do not think that you are bound to look back ? MR . BIALKIN : or not maybe there was ago ? MR . GARRETT : year , but he has filed yes . You mean look back 120 days to see whether a 10 - Q 120 days or two and a half ...
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