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 127
... Exchange has a requirement that you mark all of those orders DIST . The New York Stock Exchange to my knowledge does not have such a requirement ; and of course the requiring that all you need to do is to inquire to see if the Stock ...
... Exchange has a requirement that you mark all of those orders DIST . The New York Stock Exchange to my knowledge does not have such a requirement ; and of course the requiring that all you need to do is to inquire to see if the Stock ...
Page 132
... exchange ? MR . CIONE : That would violate all of Ezra's rules . MR . BIALKIN : I might point out something , though , with respect to Form S - 8 , and this is an evolving area . The S - 8 form contains an undertaking which says that ...
... exchange ? MR . CIONE : That would violate all of Ezra's rules . MR . BIALKIN : I might point out something , though , with respect to Form S - 8 , and this is an evolving area . The S - 8 form contains an undertaking which says that ...
Page 174
... Exchange . There are exchanges which are exempt ; I believe the Honolulu exchange is an example of that . Then there are exchanges which are beyond the purview of the 1933 Act or 1934 Act , such as the Toronto or the London exchange . Does ...
... Exchange . There are exchanges which are exempt ; I believe the Honolulu exchange is an example of that . Then there are exchanges which are beyond the purview of the 1933 Act or 1934 Act , such as the Toronto or the London exchange . Does ...
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