A Fiduciary's guide to federal securities laws
American Bar Association. Committee on Federal Regulation of Securities. Subcommittee on Securities Activities of Banks and Fiduciaries
The Association, 1994 - Business & Economics - 264 pages
Essential reading for those who manage trusts or funds that contain securities. Virtually everything one needs to know about registration requirements and compliance guidelines--including how to avoid civil and criminal liabilities--is spelled out in this information-packed resource. Also covered are how to buy, sell and own securities in trust, as well as the problems fiduciaries typically encounter in offering investment or related services.
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Determination by a Fiduciary of Statutory Underwriter
Exemptions From Registration
18 other sections not shown
2d Cir acquisition apply assets bank fiduciary bank holding company bank's beneficial owner beneficial ownership broker broker-dealer brokerage clients collective trust fund Commission common trust fund control securities controlling shareholder Corp corporation court deemed directors disclose disclosure employees entity equity securities ERISA Exchange Act Release Exchange Act Rule Federal fiduciary duty insider trading interest investment adviser Investment Company Act investment management investors involving issued issuer liability material inside information ment Merrill Lynch money manager mutual fund nonpublic ownership percent person Poison Pill prohibited proxy pursuant registration statement Regulation reporting resale restricted securities safe harbor Schedule 13D SEC No-Action Letter SEC Securities Act Section 16 Insider section 28(e section 4(1 Securities Act Release securities laws security holders seller Supp supra note target company tender offer tion transactions Transfer Binder trust department trust or estate underwriter violation