Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
From inside the book
Results 1-3 of 63
Page 3-22
... settlement argued that the proposed settlement and notice of settlement constituted an offer to sell , as well as an offer to buy , securities , in violation of the registration requirements of the Act . Proponents of the settlement ...
... settlement argued that the proposed settlement and notice of settlement constituted an offer to sell , as well as an offer to buy , securities , in violation of the registration requirements of the Act . Proponents of the settlement ...
Page 3-46
... settlement or com- promise that does not provide for the issuance or transfer of securities are deemed to govern in Section 3 ( a ) ( 10 ) hearings , and without SEC guidance it appears that they do , the standards for approval are rela ...
... settlement or com- promise that does not provide for the issuance or transfer of securities are deemed to govern in Section 3 ( a ) ( 10 ) hearings , and without SEC guidance it appears that they do , the standards for approval are rela ...
Page 3-47
... settlement in light of the best possible recovery ; ( 11 ) Range of reasonableness of the settlement fund to a possible recovery in light of all the attendant risks of litigation ; and ( 12 ) Public policy favoring settlement.20 Given ...
... settlement in light of the best possible recovery ; ( 11 ) Range of reasonableness of the settlement fund to a possible recovery in light of all the attendant risks of litigation ; and ( 12 ) Public policy favoring settlement.20 Given ...
Contents
Rule 144d3 10277 | lxxii |
Chapter | lxxxi |
Interest 6175 | lxxxv |
Copyright | |
135 other sections not shown
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Common terms and phrases
acquired Act Release Action Letter affiliate amendment apply approval assets bank Bankruptcy Code broker-dealer cash claims Commission common stock convertible debentures convertible securities Corp corporation counsel court creditors curities debentures debt debtor deemed disclosure distribution entity Exchange Act exchange offer exemption under Section federal filed hearing infra interest interpretation intrastate offering investment investors involved issuance issuer limited partnership ment merger nonaffiliate notes offer and sale offer or sale offerees outstanding Pacwest paragraph partners payment percent person preferred stock prior purchase purposes pursuant to Section recapitalization registration requirements registration statement Regulation reorganization residents restricted securities sales of securities SEC No-Action Letter SEC staff Section 4(1 Securities Act securities issued security holders sell Sept settlement shareholders shares Softimage sold solicitation staff agreed statute stockholders subparagraph supra tion transaction Transfer Binder underwriter unregistered securities voting trust