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 53
Page 17
... held the shares , that is , over three years . But while everyone has enjoyed this letter , with its picture of the ... held his shares for three years and four months , and he did not confess to having sin in his heart at the time of ...
... held the shares , that is , over three years . But while everyone has enjoyed this letter , with its picture of the ... held his shares for three years and four months , and he did not confess to having sin in his heart at the time of ...
Page 93
... held securities for , let us say , two years today . This is my second anniversary . I look forward very anxiously to April 15th or April 17th , which is the first trading day , and I tell my broker , " I have held them for two years ...
... held securities for , let us say , two years today . This is my second anniversary . I look forward very anxiously to April 15th or April 17th , which is the first trading day , and I tell my broker , " I have held them for two years ...
Page 95
... held these securities for four years , has availed himself somewhere along the line of 144 , and has acquired his securities prior to April 15th ? MR . GARRETT : John , if I may get in on this , I do not think you are pleading your case ...
... held these securities for four years , has availed himself somewhere along the line of 144 , and has acquired his securities prior to April 15th ? MR . GARRETT : John , if I may get in on this , I do not think you are pleading your case ...
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