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 84
... situation or a special situation of some other type . Characteristically these are companies which at least in Rule 144 parlance might be regarded as non - reporting , non - registered companies . The first question that the venture ...
... situation or a special situation of some other type . Characteristically these are companies which at least in Rule 144 parlance might be regarded as non - reporting , non - registered companies . The first question that the venture ...
Page 85
an situation of a private investor demanding registration rights from any other issuer today . That is essentially a ... situation . - In one sense Rule 144 simplifies the situation for the private investor . In the past and this is true ...
an situation of a private investor demanding registration rights from any other issuer today . That is essentially a ... situation . - In one sense Rule 144 simplifies the situation for the private investor . In the past and this is true ...
Page 151
... situation where considerably more than 500 shares are involved . You could be involved in a situation where thousands of shares are involved , and you still may have to go back to your seller and say , " Well , we reported yesterday ...
... situation where considerably more than 500 shares are involved . You could be involved in a situation where thousands of shares are involved , and you still may have to go back to your seller and say , " Well , we reported yesterday ...
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