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 60
Page 21
... circumstances must remain relevant , the Commission's decision to stop giving informal rulings on these cases is undoubtedly sound . The trouble with change of circumstances is that , unlike the passage of time , they come in an ...
... circumstances must remain relevant , the Commission's decision to stop giving informal rulings on these cases is undoubtedly sound . The trouble with change of circumstances is that , unlike the passage of time , they come in an ...
Page 58
... circumstances . " Sitting in front of me were a couple of people from the staff of the Commission , and one said , " I do not know that that is change of circumstances . That was self - induced . " Ken said much the same thing this ...
... circumstances . " Sitting in front of me were a couple of people from the staff of the Commission , and one said , " I do not know that that is change of circumstances . That was self - induced . " Ken said much the same thing this ...
Page 94
... circumstances is Rule 144 sale , then when it comes time to consider whether he has change of circumstances you have got to look at all of his conduct . That conduct included the sale of shares prior to his change of circumstances ...
... circumstances is Rule 144 sale , then when it comes time to consider whether he has change of circumstances you have got to look at all of his conduct . That conduct included the sale of shares prior to his change of circumstances ...
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