Postgraduate Course in Federal Securities Law: ALI-ABA Course of Study MaterialsAmerican Law Institute-American Bar Association Committee on Continuing Professional Education, 1996 - Securities |
From inside the book
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Page 218
... eliminate two forms and one rule that may no longer be necessary to protect investors . It also added one rule and amended nine rules and 17 forms in order to eliminate unnecessary requirements and to streamline the disclosure process ...
... eliminate two forms and one rule that may no longer be necessary to protect investors . It also added one rule and amended nine rules and 17 forms in order to eliminate unnecessary requirements and to streamline the disclosure process ...
Page 219
... Eliminate Outdated Regulation . a . b . Eliminate rules that have become obsolete ; for example , Regulation B. As a result of the changes in the energy market and the creation of other exemptions , the regulation is rarely used ...
... Eliminate Outdated Regulation . a . b . Eliminate rules that have become obsolete ; for example , Regulation B. As a result of the changes in the energy market and the creation of other exemptions , the regulation is rarely used ...
Page 228
... eliminate the federal requirement that issuers file a Form D when relying on Regulation D or Section 4 ( 6 ) exemptions . The Commission did not propose to eliminate Form D altogether because , although the additional information ...
... eliminate the federal requirement that issuers file a Form D when relying on Regulation D or Section 4 ( 6 ) exemptions . The Commission did not propose to eliminate Form D altogether because , although the additional information ...
Contents
II | 4 |
What Makes a Company a Good Candidate for Going | 21 |
232333423 | 37 |
Copyright | |
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accredited investors addition affiliate ALI-ABA amendment apply broker-dealer CalPERS Commission company counsel company's compliance corporate court dealer deemed derivative securities directors disclosure distribution documents due diligence Eliminate employee Exchange Act executive federal securities laws fees filing financial statements firm Form fraud Gustafson initial initial public offering insider institutional investors integration Internet investment involving issue issuer liability limited Litig market maker material MD&A million NASD NASDAQ NYSE officer Paine Webber percent permitted person Ponzi scheme prior private offering private placement proposed prospectus proxy statement public offering purchase pursuant recommendations registration statement Regulation D Regulation S-K resale restricted securities revised Rule safe harbor SEC Doc SEC Docket SEC Lit SEC No-Action Letter SEC's Section 16 Securities Act selling stockholders shareholders shares shelf registration solicitation staff Task Force Report trading transactions underwriters violations voting Wall St.J