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 96
... particular company acquired in a non - public offering . I want to use the leakage provisions of 144 , and then after another six months I want to sell the rest of the block under prior interpreta- tions . " Our response is that we are ...
... particular company acquired in a non - public offering . I want to use the leakage provisions of 144 , and then after another six months I want to sell the rest of the block under prior interpreta- tions . " Our response is that we are ...
Page 118
... particular security out , then in my view ( and I think this is the view of most people on the Street that hold a similar position ) we are really soliciting , in the true sense of the word , buy orders in this particular issue . Now ...
... particular security out , then in my view ( and I think this is the view of most people on the Street that hold a similar position ) we are really soliciting , in the true sense of the word , buy orders in this particular issue . Now ...
Page 119
... particular stock . Most probably the insiders will come to you with their stock to sell because of your knowledge of their particular issue , and of course because of your relationship to them . Then if you have to get out of the sheets ...
... particular stock . Most probably the insiders will come to you with their stock to sell because of your knowledge of their particular issue , and of course because of your relationship to them . Then if you have to get out of the sheets ...
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