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 66
Page 81
... registration statement . The stockholder decides he does not want to use the registration process but does want to sell under Rule 144. He can meet all of the requirements of the rule . Can he use Rule 144 or must he , since the shares ...
... registration statement . The stockholder decides he does not want to use the registration process but does want to sell under Rule 144. He can meet all of the requirements of the rule . Can he use Rule 144 or must he , since the shares ...
Page 85
... registration but also registration under circumstances where the issuer pays the counsel fees for the investor . It is cruel and unusual punishment , es- pecially in a small company , but there are essentially deals where negotiating ...
... registration but also registration under circumstances where the issuer pays the counsel fees for the investor . It is cruel and unusual punishment , es- pecially in a small company , but there are essentially deals where negotiating ...
Page 188
... registration provisions of the Act were not being circumvented . Thus , the response to Ray is , yes , under the ... registration statement context . First , you can have a situation where a seller has registration rights and has ...
... registration provisions of the Act were not being circumvented . Thus , the response to Ray is , yes , under the ... registration statement context . First , you can have a situation where a seller has registration rights and has ...
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