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
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Page 204
... sold by the pledgee shall be aggregated with those sold by the pledgor , as provided in paragraph ( e ) ( 3 ) ( B ) below . ( E ) Gifts of Securities . Securities acquired from any person , other than the issuer , by gift shall be ...
... sold by the pledgee shall be aggregated with those sold by the pledgor , as provided in paragraph ( e ) ( 3 ) ( B ) below . ( E ) Gifts of Securities . Securities acquired from any person , other than the issuer , by gift shall be ...
Page 206
... sold ; ( B ) The amount of securities sold for the account of a pledgee thereof , or for the account of a purchaser of the pledged securities , during any period of six months within two years after a de- fault in the obligation secured ...
... sold ; ( B ) The amount of securities sold for the account of a pledgee thereof , or for the account of a purchaser of the pledged securities , during any period of six months within two years after a de- fault in the obligation secured ...
Page 210
... sold : ( b ) 3 . ( a ) ( b ) ( c ) Such person's Social Security or I.R.S. identification number : Title of the class of securities to be sold : Number of shares or other units to be sold ( if debt securities , give the aggregate face ...
... sold : ( b ) 3 . ( a ) ( b ) ( c ) Such person's Social Security or I.R.S. identification number : Title of the class of securities to be sold : Number of shares or other units to be sold ( if debt securities , give the aggregate face ...
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