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 165
... specified in Rule 133 , whether a notice to security holders of a meeting to vote on such proposals would constitute either a statutory prospectus under Section 2 ( 10 ) or an offer to sell under Section 5. Accordingly , I think it is ...
... specified in Rule 133 , whether a notice to security holders of a meeting to vote on such proposals would constitute either a statutory prospectus under Section 2 ( 10 ) or an offer to sell under Section 5. Accordingly , I think it is ...
Page 205
... specified in subparagraph ( 1 ) ( A ) or ( B ) above , whichever is ap- plicable . ( 3 ) Determination of Amount . For the purpose of determining the amount of securities specified in paragraphs ( 1 ) and ( 2 ) above , the following ...
... specified in subparagraph ( 1 ) ( A ) or ( B ) above , whichever is ap- plicable . ( 3 ) Determination of Amount . For the purpose of determining the amount of securities specified in paragraphs ( 1 ) and ( 2 ) above , the following ...
Page 206
... specified in paragraph ( 1 ) or ( 2 ) above , whichever is applica- ble ; ( C ) The amount of securities sold for the account of a donee thereof during any period of six months within two years after the donation , and the amount of ...
... specified in paragraph ( 1 ) or ( 2 ) above , whichever is applica- ble ; ( C ) The amount of securities sold for the account of a donee thereof during any period of six months within two years after the donation , and the amount of ...
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