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 52
Page 47
... respect to securities acquired prior to the effective date of Rule 144 , notwithstanding the use of the term " adoption date " on page 12 of the release , the staff will continue to issue no- action letters covering such acquisitions ...
... respect to securities acquired prior to the effective date of Rule 144 , notwithstanding the use of the term " adoption date " on page 12 of the release , the staff will continue to issue no- action letters covering such acquisitions ...
Page 63
... respect to loaning on 144 type stock . There will have to be some restrictions placed on the individual and the other securities that he may have and that he may be able to liquidate . You will have to get some binding agreements where ...
... respect to loaning on 144 type stock . There will have to be some restrictions placed on the individual and the other securities that he may have and that he may be able to liquidate . You will have to get some binding agreements where ...
Page 161
... respect to disclosure of the market - making activities , we follow what Loeb , Rhoades does . However , in a polling of customers we have asked them whether or not it made any difference to them if we told them we were a market - maker ...
... respect to disclosure of the market - making activities , we follow what Loeb , Rhoades does . However , in a polling of customers we have asked them whether or not it made any difference to them if we told them we were a market - maker ...
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