Nuts and Bolts of Securities LawPractising Law Institute, 2005 - Securities |
From inside the book
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Page 176
... violation of sec- tion 5 ( b ) ( 1 ) , since it seems that if one subsection of section 5 ( b ) were violated , the other would have been also . This may be important , because if section 5 ( b ) ( 1 ) can be violated in the ...
... violation of sec- tion 5 ( b ) ( 1 ) , since it seems that if one subsection of section 5 ( b ) were violated , the other would have been also . This may be important , because if section 5 ( b ) ( 1 ) can be violated in the ...
Page 448
... violation of the section 306 ( a ) trading prohibition , including a method for calculation of recoverable profits . • New Rule 104 sets forth the content and delivery require- ments for the notice that an issuer must provide in connec ...
... violation of the section 306 ( a ) trading prohibition , including a method for calculation of recoverable profits . • New Rule 104 sets forth the content and delivery require- ments for the notice that an issuer must provide in connec ...
Page 557
... violation of the Exchange Act or its rules committed by the company or other person they con- trol , " unless the controlling person acted in good faith and did not directly or indirectly induce the act or acts constituting the violation ...
... violation of the Exchange Act or its rules committed by the company or other person they con- trol , " unless the controlling person acted in good faith and did not directly or indirectly induce the act or acts constituting the violation ...
Contents
THE SECURITIES EXCHANGE ACT OF 1934 | 18 |
REACH OF SECURITIES ACT REGULATION | 113 |
REGULATORY FRAMEWORK OF SECURITIES | 145 |
Copyright | |
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Common terms and phrases
2d Cir acquiring corporation Act Rule action affiliate amendment Approaching Securities Law audit committee BAKER DONELSON BEARMAN CALDWELL & BERKOWITZ certificate Commission Commission's company's Corp definition disclose disclosure requirements discussed Duties After Sarbanes-Oxley effective Enron equity securities exemption filed Form fraud insider trading investment investors involved issue issuer Item Kern County liability MD&A ment merger no-action request nominating committee officer PC Attorneys PC The Securities person plaintiff private placement profits provides proxy materials proxy statement purchase question registrant's registration statement Regulation D relating Release resale restricted securities Sarbanes-Oxley Act Sarbox Schedule Schedule 13D Second Circuit section 16(b section 4(2 secu Securities Act Rel Securities Exchange Act securities lawyers security holders sell shareholder shareholder proposal shares Soderquist solicitation specific statute submit supra Supreme Court target corporation tender offer tion transaction underwriter violation vote waiting period Zandford