16 pages matching resale in this book
Results 1-3 of 16
What people are saying - Write a review
We haven't found any reviews in the usual places.
U When Is an Investment Contract Not an Investment Contract
Recent Developments at the National Association of Securities
39 other sections not shown
accounting accredited investors adopted ALI-ABA amendments analysts annual apply capital cash class action Committee company counsel company's compensation corporate court December 11 derivatives disclosure discussion documents drafting due diligence effective electronic employee Exchange Act Release Exchange Commission exemption FASB federal securities laws filing final prospectus financial instruments financial statements Form forward-looking statements fraud initial public offering insider insider trading Internet Interpretive Release investment issued issuer Item lawyers letter liability market risk material MD&A meeting misleading no-action officers participants period plaintiff prior private offering proposal prospectus proxy PSLRA public companies public offering purchase pursuant reasonable Reform Act registration statement Regulation S-K regulatory reports restricted Rule safe harbor scienter SEC's Section Section 10(b Securities and Exchange Securities Litigation shareholders shares shelf registration solicitation staff standard stock options Supp trading transactions underwriters violation vote