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 54
Page 16
... action letter business burgeoned . Even if the seller was willing to take a chance , as is frequently the case , broker - dealers , issuers and transfer agents and others have often demanded the solace of a no - action letter ...
... action letter business burgeoned . Even if the seller was willing to take a chance , as is frequently the case , broker - dealers , issuers and transfer agents and others have often demanded the solace of a no - action letter ...
Page 47
... action letters pertaining to such acquisitions . However , the staff will issue interpretive letters to assist those in complying with the Rule . In issuing no - action letters with respect to securities acquired prior to the effective ...
... action letters pertaining to such acquisitions . However , the staff will issue interpretive letters to assist those in complying with the Rule . In issuing no - action letters with respect to securities acquired prior to the effective ...
Page 175
... action , that is , that the issuer would be held liable to the holder of restricted stock on the grounds that the issuer had an obligation to comply with the reporting requirements ? MR . LEVENSON : What you are really asking , I think ...
... action , that is , that the issuer would be held liable to the holder of restricted stock on the grounds that the issuer had an obligation to comply with the reporting requirements ? MR . LEVENSON : What you are really asking , I think ...
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