Advanced Securities Law Workshop, Volume 1Practising Law Institute, 1994 - Securities |
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Page 118
... prospectus , the OS may not serve as a surrogate for a complete prospectus . While there may be instances where financial statements of the municipal issuer are not material to the investor in the asset - backed security , such ...
... prospectus , the OS may not serve as a surrogate for a complete prospectus . While there may be instances where financial statements of the municipal issuer are not material to the investor in the asset - backed security , such ...
Page 169
... prospectus delivery requirements under the '33 Act . Obviously , the consequences of an underwriter's failing to qualify for the Section 4 ( 3 ) exemption , where the underwriter intends to engage in market making support of the ...
... prospectus delivery requirements under the '33 Act . Obviously , the consequences of an underwriter's failing to qualify for the Section 4 ( 3 ) exemption , where the underwriter intends to engage in market making support of the ...
Page 173
... prospectus ( such as management's discussion of projections ) are permissible , but the parameters and content of these statements should be discussed in advance with counsel ( who should be sensitive to both the need for and risks of a ...
... prospectus ( such as management's discussion of projections ) are permissible , but the parameters and content of these statements should be discussed in advance with counsel ( who should be sensitive to both the need for and risks of a ...
Contents
SIMPLIFICATION OF REGISTRATION PROCEDURES | 13 |
C | 19 |
XVI | 45 |
Copyright | |
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accounting addition alleged amendments amount applicable argued asset-backed securities assets attorney audited Bank basis broker-dealer company's compensation Corporation costs counsel defendants derivative securities directors disclose discussion disgorgement Division documents EDGAR effect electronic filer eligible environmental equity securities exchange offer exemption federal securities laws fees filing financial statements firm fiscal foreign private issuers GAAP holders initial public offering Interpretive Release investors issued Item liability limited loan material MD&A MJDS NASD obligations operations option parties partnership period person plaintiff prior procedures proposed prospectus proxy statement public company public offering purchase pursuant qualified institutional buyer reasonable registrant's registration statement Regulation S-K reporting roll-up roll-up transaction Rule safe harbor Schedule 13D Section Securities Act Release Securities Exchange Act Securities Litigation selling shareholders shares shelf registration significant solicitation specific staff standard statute of limitations subsidiaries tender offer trading underwriter violations