Securities Underwriting: A Practitioner's Guide |
Other editions - View all
Common terms and phrases
accountants acquired AICPA amendment amount apply balance sheet banking BarChris blue sky blue sky laws broker broker-dealer capital client comfort letter Commission convertible securities corporate debt defense directors disclosure discussion distribution due diligence effective date Exchange Act Release exempt expenses federal securities fees filed financial statements firm-commitment firms fiscal form S-3 forma income income statement incorporated by reference indenture initial public offering interim investment banker investors involved issue issuer letter of intent liability managing underwriter ment misstatement or omission NASD paragraph participation percent period preferred stock prior procedures prospectus provides public offering price purchase regis registration statement regulation S-X relating rule scienter SEC Securities Act SEC Securities Exchange SEC's section 11 Securities Act Release Securities Exchange Act securities laws shares shelf registration sold stabilizing statutory subsidiaries Supp supra note syndicate tion statement trading transaction unaudited underwriter's underwriting agreement violation