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
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Page 32
... broker's exemption gives the broker in effect a good faith exemption . That is , if the broker is not aware of facts which would indicate that the controlling person ( his seller ) is an underwriter , or if he is not aware that the ...
... broker's exemption gives the broker in effect a good faith exemption . That is , if the broker is not aware of facts which would indicate that the controlling person ( his seller ) is an underwriter , or if he is not aware that the ...
Page 183
... broker who is making a market in the security . The market - maker refers the stockholder to a broker who is not a market - maker , who buys the stock in an agency transaction , and who sells it to the market - maker . Is this a valid ...
... broker who is making a market in the security . The market - maker refers the stockholder to a broker who is not a market - maker , who buys the stock in an agency transaction , and who sells it to the market - maker . Is this a valid ...
Page 232
... Brokers Can and Cannot Do in Unsolicited Brokers ' Transactions . " I shall discuss the problems under Rule 144 in this area , since these problems have general application to all situations in which the broker is restricted to ...
... Brokers Can and Cannot Do in Unsolicited Brokers ' Transactions . " I shall discuss the problems under Rule 144 in this area , since these problems have general application to all situations in which the broker is restricted to ...
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