34 pages matching violation in this book
Results 1-3 of 34
What people are saying - Write a review
We haven't found any reviews in the usual places.
Statutory Framework of the Securities Act
Private Placements and Certain Other Exempt
44 other sections not shown
2d Cir accepted accounting principles accepted auditing standards acquired person acquisition amended amount annual report Antitrust applicable assets audit committee auditor beneficial owner CCH Fed cert claim or assessment client Commission concerning Corp corporation Court determined disclosed effect entity equity securities errors or irregularities evaluation exempt FCPA filed financial statements fiscal Form 8-K illegal act internal accounting control Investment Company issued issuer Item lawyer liability limited litigation loss contingencies material weaknesses matters ment merger nominee offeror officers paragraph payments prior procedures proposed proxy material proxy rules proxy statement purchase purpose reasonable records registration statement Regulation S-K Release request respect response Schedule scienter Securities Act securities laws security holders shareholders shares solicitation specific Statement of Policy stockholders subsidiaries supra tender offer tion transactions Transfer Binder underwriter unfavorable outcome violation voting securities York Stock Exchange