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 60
... LEVENSON : I might say that in 144 , as initially proposed , there was no cutoff period on aggregation for the donee , and in view of the helpful comments that were received , and considering the practical aspects of administering it ...
... LEVENSON : I might say that in 144 , as initially proposed , there was no cutoff period on aggregation for the donee , and in view of the helpful comments that were received , and considering the practical aspects of administering it ...
Page 61
MR . LEVENSON : Correct . MR . WHEAT : And the same with pledges . MR . LEVENSON : With the exception that you will notice in the limitation on amount sold provision of the Rule , the donee has a trigger date from date of gift , and the ...
MR . LEVENSON : Correct . MR . WHEAT : And the same with pledges . MR . LEVENSON : With the exception that you will notice in the limitation on amount sold provision of the Rule , the donee has a trigger date from date of gift , and the ...
Page 177
... LEVENSON : I agree with Ken . MR . BIALKIN : In other words , what we are saying are saying is , when you have a stock dividend and that is what you want to sell , you look back to the time when the stock which was the basis of the ...
... LEVENSON : I agree with Ken . MR . BIALKIN : In other words , what we are saying are saying is , when you have a stock dividend and that is what you want to sell , you look back to the time when the stock which was the basis of the ...
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