Mechanics of UnderwritingPractising Law Institute, 1985 - Securities |
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affiliate agent applicable Association bank broker broker-dealer business day Citicorp comfort letter Committee Common Stock convertible securities Corporate Financing Debt Securities December 31 deemed default determined distribution documents due diligence effective date Exchange Commission exemption exercise Fair Practice filing requirements financial statements Form S-3 holders incorporated by reference Indenture initial public offering interest rate Interpretation investors issued issuer liability managing underwriter Merrill Lynch ML & Co NASD notice obligations October 15 Offered Notes offering of securities option outstanding paragraph participation payment period preferred stock preliminary prospectus prior pro forma proposed Prospectus Supplement public offering price purchase pursuant received redemption registration statement related person Representatives respect Rules of Fair Section Securities Act Securities and Exchange Securities Exchange Act Selected Dealers sell shelf registration sold subparagraph subsidiaries thereof transactions Trustee underwriter or related Underwriting Agreement underwriting compensation warrants