Securities RegulationThis casebook presents securities regulation in a comprehensive & understandable, yet intellectually challenging manner, & combines both the theoretical & practical aspects of this subject. In addition to case law, the text includes other relevant material such as SEC releases & scholarly commentary. Numerous problems throughout the book provide upper-level students the opportunity to practice lawyering skills. TeacherÆs Manual Annual Supplement |
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Page 352
... Officer - Rule 501 ( f ) The definition of executive officer in Rule 501 ( f ) is the same as that in Rule 405 of Regulation C. ( 37 ) Question : The executive officer of the parent of the Regulation D issuer performs a policy making ...
... Officer - Rule 501 ( f ) The definition of executive officer in Rule 501 ( f ) is the same as that in Rule 405 of Regulation C. ( 37 ) Question : The executive officer of the parent of the Regulation D issuer performs a policy making ...
Page 1405
... OFFICER OR DIRECTOR " The term " officer " has been defined by the SEC as meaning a president , vice - president , treasurer , secretary , comptroller , and any other person who performs functions corresponding to those performed by the ...
... OFFICER OR DIRECTOR " The term " officer " has been defined by the SEC as meaning a president , vice - president , treasurer , secretary , comptroller , and any other person who performs functions corresponding to those performed by the ...
Page 1406
... officer with access to inside information within the coverage of Section 16 ( b ) . The court said that it must look behind the title of the person to ascertain his real duties and that " A person who does not have the title of an officer ...
... officer with access to inside information within the coverage of Section 16 ( b ) . The court said that it must look behind the title of the person to ascertain his real duties and that " A person who does not have the title of an officer ...
Contents
PREFACE TO SIXTH EDITION | 6 |
Civil RICOContinued Page | 6 |
AN OVERVIEW | 6 |
Copyright | |
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Common terms and phrases
accredited investor acquired affiliate amendment apply assets Bank broker broker-dealer certificate of deposit Commission's common stock controlling person Corp corporation CUSIP customers dealer definition disclosure system distribution district court effective equity Exchange Act Release Exchange Commission F.Supp fact federal securities laws filed firm Form Howey interest investment contract involved issue issuer liability limited market maker ment NASAA NASD NASDAQ NYSE offerees participation partnership period permitted prior Professor of Law prohibited prospectus provides public offering purchase purpose pursuant question registration statement Regulation D Report resales restricted securities sale of securities Schedule 13D Section 4(2 Securities Act Release Securities and Exchange Securities Exchange Act securities markets Securities Regulation security holders sell shares shelf registration Shelf Shareholder sold solicitation specific statute statutory Stock Exchange stockholders tender offer tion trading transactions underwriter University USAMCO violation York Stock Exchange