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 16
... letter business burgeoned . Even if the seller was willing to take a chance , as is frequently the case , broker - dealers , issuers and transfer agents and others have often demanded the solace of a no - action letter . Presumably ...
... letter business burgeoned . Even if the seller was willing to take a chance , as is frequently the case , broker - dealers , issuers and transfer agents and others have often demanded the solace of a no - action letter . Presumably ...
Page 17
... letter of last year . The writer of the letter had acquired 2,466 Sun Dance shares privately over three years ago , in April of 1968. In October of 1969 he requested a no - action letter and was refused . Finally , in May 1971 , he ...
... letter of last year . The writer of the letter had acquired 2,466 Sun Dance shares privately over three years ago , in April of 1968. In October of 1969 he requested a no - action letter and was refused . Finally , in May 1971 , he ...
Page 236
... letter Request written advice from Company as to restriction on sale or transfer III.Determine restriction , if any , and steps necessary for sale Letter stock or control stock A. 1 . B. 2 . Is Rule 144 available ? a . b . c ...
... letter Request written advice from Company as to restriction on sale or transfer III.Determine restriction , if any , and steps necessary for sale Letter stock or control stock A. 1 . B. 2 . Is Rule 144 available ? a . b . c ...
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