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 65
... suppose General Motors or AT & T has a citadel of corporate power . It is a little ludicrous to think of the Continental Tobacco Company of South Carolina having a citadel of corporate power , but maybe it has a lock box somewhere where ...
... suppose General Motors or AT & T has a citadel of corporate power . It is a little ludicrous to think of the Continental Tobacco Company of South Carolina having a citadel of corporate power , but maybe it has a lock box somewhere where ...
Page 80
... Suppose , for example , that a brokerage firm has rendered advice to a company relative to the financial problems of the company , and suppose the brokerage firm has advised the company that it is too early for a registered public ...
... Suppose , for example , that a brokerage firm has rendered advice to a company relative to the financial problems of the company , and suppose the brokerage firm has advised the company that it is too early for a registered public ...
Page 99
... Suppose , for example , that the last 10 - Q was filed on October 15th . There is no 10 - Q due on February 15th . The annual report is due on March 30th . On March 25th the order comes in . You take a look at the 10 - Q that was filed ...
... Suppose , for example , that the last 10 - Q was filed on October 15th . There is no 10 - Q due on February 15th . The annual report is due on March 30th . On March 25th the order comes in . You take a look at the 10 - Q that was filed ...
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