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 37
... release . It is a very pregnant paragraph , and until this morning I was not at all sure what it meant . Now it appears that it might well operate to prevent a rolling distribution . The para- graph is not in the rule itself ; it is in ...
... release . It is a very pregnant paragraph , and until this morning I was not at all sure what it meant . Now it appears that it might well operate to prevent a rolling distribution . The para- graph is not in the rule itself ; it is in ...
Page 73
... release , but nonetheless says his client is free to sell securities under the 1933 Act because he has had a change of circumstances . You know what the Commission says in its release . Are you going to permit your issuer to take the ...
... release , but nonetheless says his client is free to sell securities under the 1933 Act because he has had a change of circumstances . You know what the Commission says in its release . Are you going to permit your issuer to take the ...
Page 88
... Release 5226 , which specifies disclo- sures to investors that all companies must give . There is also the Release 5121 about legends , and of course at page 15 of the release under Rule 144 , there is the other side of the warning that ...
... Release 5226 , which specifies disclo- sures to investors that all companies must give . There is also the Release 5121 about legends , and of course at page 15 of the release under Rule 144 , there is the other side of the warning that ...
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