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 51
Page 81
... statement , sell only under the registration statement and , of course , only if it is made effective . I believe the staff has interpreted the situation to preclude Rule 144 . But then take the example of the omnibus shelf , which is ...
... statement , sell only under the registration statement and , of course , only if it is made effective . I believe the staff has interpreted the situation to preclude Rule 144 . But then take the example of the omnibus shelf , which is ...
Page 83
... statement , if made , at least was not policy nor would it be the interpretation if the question were presented . MR . LEVENSON : Well , Ken , I do not recall the particular statement from which the inference can be drawn , or even if ...
... statement , if made , at least was not policy nor would it be the interpretation if the question were presented . MR . LEVENSON : Well , Ken , I do not recall the particular statement from which the inference can be drawn , or even if ...
Page 188
... statement which has been filed but which has not yet become effective . Fourth , you can have an effective registra- tion statement where the prospectus is current . And fifth , you can have an effective registration statement , but ...
... statement which has been filed but which has not yet become effective . Fourth , you can have an effective registra- tion statement where the prospectus is current . And fifth , you can have an effective registration statement , but ...
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