Advanced Securities Law WorkshopPractising Law Institute, 2007 - Securities |
From inside the book
Page 208
... related MD & A , it is important that we advise you that this guidance does not : • mean the Division of Corporation Finance will not comment on or require changes in your Form 10 - K amendment or Form 10 - K that includes the ...
... related MD & A , it is important that we advise you that this guidance does not : • mean the Division of Corporation Finance will not comment on or require changes in your Form 10 - K amendment or Form 10 - K that includes the ...
Page 235
... related documentation . The Partner- ship : Investment Objective : The General Partner : The Manage- ment Com- pany : Capital Com- mitments : XYZ Partners , L.P. , a Delaware limited partnership ( the " Partnership " ) . The investment ...
... related documentation . The Partner- ship : Investment Objective : The General Partner : The Manage- ment Com- pany : Capital Com- mitments : XYZ Partners , L.P. , a Delaware limited partnership ( the " Partnership " ) . The investment ...
Page 261
... related expenses , rent , accounting fees and membership dues , are all among the services outside the safe harbor . Care must be taken to analyze some services based on use . For example , a money manager's legal fees related to its ...
... related expenses , rent , accounting fees and membership dues , are all among the services outside the safe harbor . Care must be taken to analyze some services based on use . For example , a money manager's legal fees related to its ...
Contents
AMERICAN BAR ASSOCIATION LETTER REGARDING | 11 |
نه NEW YORK CITY BAR LETTER REGARDING SECURITIES | 55 |
ADDRESSING U S CAPITAL MARKET FLIGHT? | 61 |
Copyright | |
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2006 Proposals accounting accredited investors ADTV alleged amended attorney-client privilege attorneys BearingPoint broker broker-dealer Capital Commitments compliance conduct cooperation corporation counsel Deferred Prosecution Agreement deregistration Director disclosure documents effective employees equity securities examination Exchange Act reporting exemption federal filing financial statements foreign private issuers Form 15F free writing prospectuses holders Indenture initial public offering investigation investment investors issues Latham & Watkins lawyers letter liability Limited Partners Management Fees McNulty Memorandum misstatement monetary penalty naked short selling NASD Partnership Press Release prior private equity fund private offering private placement public offering purchasers pursuant registration statement Regulation Regulation D Regulation SHO reporting obligations resale restatement road show Rule safe harbor SEC Release SEC's Section Securities Act Securities and Exchange securities laws shelf registration short sale soft dollar staff supra note Tellabs Thompson Memorandum tion transactions underwriter violation waiver WKSI