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 25
Page 59
... responsibility of an underwriter under Section 11 of the 1933 Act , which as all know is very substantial , and he is not going to have the economic incentive to do the kind of due diligence that is typical- ly done with an underwritten ...
... responsibility of an underwriter under Section 11 of the 1933 Act , which as all know is very substantial , and he is not going to have the economic incentive to do the kind of due diligence that is typical- ly done with an underwritten ...
Page 67
... responsibility to police compliance with the requirements for brokers ' transactions , and I must say I am not settled in my own mind as to the degree that this responsibility might go . I can understand the responsibility to police 67.
... responsibility to police compliance with the requirements for brokers ' transactions , and I must say I am not settled in my own mind as to the degree that this responsibility might go . I can understand the responsibility to police 67.
Page 75
... responsibility for putting legends on certificates and stock transfer orders with transfer agents . I think the problem of the responsibility for the removal of legends is equally important , and I think that the authorization of the ...
... responsibility for putting legends on certificates and stock transfer orders with transfer agents . I think the problem of the responsibility for the removal of legends is equally important , and I think that the authorization of the ...
Contents
MORNING SESSION | 1 |
The Statutory Framework | 11 |
The Fungibility Doctrine | 23 |
Copyright | |
12 other sections not shown
Common terms and phrases
90 days ABA ALL ABA account executive affiliate aggregate aggregation problem amount of securities apply April 15 BIALKIN broker broker-dealer broker's transaction brokerage firm Bruce cent change of circumstances CIONE client Commission compliance controlling person convertible securities Corporation dealer disclosure effect exemption Ezra fact filed FITZPATRICK fungibility going holder of restricted holding period interpretation investment intent investor issue issuer legend MANN market-maker Merrill Lynch NASDAQ no-action letter number of shares opinion paragraph pledgee pledgor private placement problem prospectus provisions public offering purchased question Ray Garrett registration statement release reporting company resale restricted securities restricted stock Section securities acquired Securities Act securities sold sell under Rule seller shelf registration situation solicitation SOMMER staff suppose tacking thing tion trading transfer agent underwriter unsolicited view to distribution wants to sell WEISS WHEAT York Stock Exchange