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 45
Page 46
... holding periods , short sales , puts , or other options to sell securities for purposes of computing the two year holding period . This appears on page 21 of the Rule . The question has been raised whether Rule 144 would be available ...
... holding periods , short sales , puts , or other options to sell securities for purposes of computing the two year holding period . This appears on page 21 of the Rule . The question has been raised whether Rule 144 would be available ...
Page 56
... holding period , or whether there was a tacking of the donee's holding period with that of the donor . To the best of my knowledge , there was no official pronouncement that gave you very much assurance on that . What has happened with ...
... holding period , or whether there was a tacking of the donee's holding period with that of the donor . To the best of my knowledge , there was no official pronouncement that gave you very much assurance on that . What has happened with ...
Page 178
... holding period in Rule 144. Rule 144's Rule 144's holding period only goes to the Rule's defini- tion of restricted securities . On the other hand , one should be careful because when you do have a controlling person who would be free ...
... holding period in Rule 144. Rule 144's Rule 144's holding period only goes to the Rule's defini- tion of restricted securities . On the other hand , one should be careful because when you do have a controlling person who would be free ...
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