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DEFINITION OF A SECURITY
ISSUER EXEMPTIONS FROM
17 other sections not shown
2d Cir 9th Cir accounting Accredited Investor adopted affiliates amendments apply attorney audit Bank broker-dealer business judgment rule Circuit Commission conduct context controlling person Corp corporation decision defendant directors disclose disclosure discussed due diligence duty enforcement Exchange Act Release Exchange Act reporting federal securities laws filed Form 8-K free writing prospectus Howey Insider Trading issue liability limited ment merger misstatement Moreover Partnership party period plaintiff prohibited provides proxy PSLRA public offering purchase pursuant reasonable registered offering registration statement Regulation FD reliance remedy requirements resale restricted securities right of action safe harbor Sarbanes-Oxley Act scienter seasoned issuers SEC Rule SEC's Section 10(b Section 11 Section 4(2 Securities Act Release Securities Exchange Act securities markets sell seller shareholders shelf registration solicitation standard statute Steinberg Supp supra Supreme Court tender offer tion transaction Transfer Binder undersigned underwriter violation