Federal Securities Laws: Selected Statutes, Rules and FormsFoundation Press, 2006 - Securities |
Contents
FEDERAL SECURITIES LAWS AND REGULATIONS | 1 |
Regulation DRules Governing the Limited Offer and Sale | 48 |
Rule | 49 |
Copyright | |
92 other sections not shown
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Common terms and phrases
affiliate aggregate amount applicable asset-backed securities association audit bank broker or dealer cash chapter class of securities clude Commission convertible securities copy curities deemed described directors disclosed disclosure document effective date electronic employees entity equity securities executive officer exemption exhibit Federal filed pursuant filer financial statements fiscal foreign Form 8-K funds furnish GAAP Gramm-Leach-Bliley Act graph incorporated by reference information required Instructions to Item issued market risk material ment national securities exchange necessary or appropriate offering price options partnership penny stock period person pool assets post-effective amendment prior protection of investors purchase purposes pursuant to Rule pursuant to section quired regis registrant's registration statement Regulation S-K relating required by Item respect rities roll-up transaction rules and regulations secu Securities Act security holders sion small business issuer sold suant subparagraph subsidiaries term thereof tion statement trading trant underwriter