Advanced Securities Law Workshop, Volumes 1-2Practising Law Institute, 1994 - Securities |
From inside the book
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Page 40
... investment companies not required to register under the Investment Company Act of 1940. The Regulation is not applicable to the offer and sale of securities issued by open - end investment companies or unit investment trusts registered ...
... investment companies not required to register under the Investment Company Act of 1940. The Regulation is not applicable to the offer and sale of securities issued by open - end investment companies or unit investment trusts registered ...
Page 68
compensation committee of another company that has an executive officer serving on the first company's board of ... Investment Companies Investment companies registered under the Investment Company Act of 1940 are excluded from the ...
compensation committee of another company that has an executive officer serving on the first company's board of ... Investment Companies Investment companies registered under the Investment Company Act of 1940 are excluded from the ...
Page 90
... company has a policy or approach towards defined contract procurement that ... Investment Management to be filed electronically by direct transmission ... Investment Management ( " Corporation Finance Release " ) . The second release ...
... company has a policy or approach towards defined contract procurement that ... Investment Management to be filed electronically by direct transmission ... Investment Management ( " Corporation Finance Release " ) . The second release ...
Contents
XII | 13 |
B Safe Harbor for Public Announcements | 15 |
B Pending Proposals to Further Streamline | 21 |
Copyright | |
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accounting action addition alleged amendments amount applicable asset-backed securities assets audited Bank basis broker-dealer Canadian cash Commission's company's compensation compliance Corporation counsel court defendants derivative securities directors disclose discussion disgorgement Division documents EDGAR effect electronic filer eligible environmental equity securities exchange offer executive compensation exemption federal securities laws fees filing financial statements fiscal foreign private issuers funds GAAP holders initial public offering injunction Investment Company investors issued Item liability limited loan material MD&A MJDS NASD obligations officers operations option partnership period plaintiffs prior procedures proposed prospectus proxy statement public company public offering purchase pursuant registrant's registration statement Regulation S-K reporting result roll-up transaction Rule safe harbor Schedule Schedule 13D Section Section 10(b Securities Act Release shareholders shares shelf registration significant solicitation specific staff subsidiaries tender offer trading trust underwriter violations