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 8
... underwriter . " would dare to say that anyone who has not at least to the extent of about 85 per cent mastered the notion of " underwriter " can't really understand the Securities Act of 1933 . - I am going to quote from the section ...
... underwriter . " would dare to say that anyone who has not at least to the extent of about 85 per cent mastered the notion of " underwriter " can't really understand the Securities Act of 1933 . - I am going to quote from the section ...
Page 9
... underwriter . Now , there is another key word in the definition of underwriter , and that is the word " distribution " . Necessarily , an underwriter is a correlative of a distribution . Absent a distribution , you don't have an ...
... underwriter . Now , there is another key word in the definition of underwriter , and that is the word " distribution " . Necessarily , an underwriter is a correlative of a distribution . Absent a distribution , you don't have an ...
Page 10
... underwriter , and still enjoy an exemption , whereas an issuer cannot . Now , " underwriter " is not confined in this statute to the person that we think of as the underwriter - F. I. duPont , Merrill Lynch , the professionals . Anybody ...
... underwriter , and still enjoy an exemption , whereas an issuer cannot . Now , " underwriter " is not confined in this statute to the person that we think of as the underwriter - F. I. duPont , Merrill Lynch , the professionals . Anybody ...
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