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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Results 1-3 of 37
Page 30
... indicating certain things about technical compliance . What Ken has indicated to you is good ad- vice . MR . BIALKIN : But notwithstanding that , literally you could do it . It is one of those clear cases where literal compli- ance with ...
... indicating certain things about technical compliance . What Ken has indicated to you is good ad- vice . MR . BIALKIN : But notwithstanding that , literally you could do it . It is one of those clear cases where literal compli- ance with ...
Page 81
... indicated that the stock was in registration and the sellers of the stock were involved in the registration statement , or their shares were involved , you indicated that the staff would keep those shares in registration . If the man ...
... indicated that the stock was in registration and the sellers of the stock were involved in the registration statement , or their shares were involved , you indicated that the staff would keep those shares in registration . If the man ...
Page 115
... indicated interest in the securities within the preceding 60 days . I do not quote that as any authority , but at least at the time of this article that was the understanding of the Rule by Mr. Wander . MR . FITZPATRICK : I think the ...
... indicated interest in the securities within the preceding 60 days . I do not quote that as any authority , but at least at the time of this article that was the understanding of the Rule by Mr. Wander . MR . FITZPATRICK : I think the ...
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