Fundamentals of Securities Law: ALI-ABA Course of Study MaterialsAmerican Law Institute-American Bar Association Continuing Professional Education, 2008 - Going public (Securities) |
Contents
Definition of Security | 7 |
Relation of Securities Laws to Other Laws | 23 |
Roles and Functions of the Securities and Exchange Commission | 31 |
Copyright | |
28 other sections not shown
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Common terms and phrases
accredited investors action affiliates ALI-ABA Course applicable attorney broker broker-dealer capital client Commission company's compliance confidential corporate counsel court directors disclose disclosure requirements documents Dutch auction duty employees equity securities federal securities laws filing Final Rules financial condition financial statements fiscal Form forward-looking fraud Fundamentals of Securities insider trading issued issuer Item lawyer letter liability limited Litig material violation MD&A million Model Rule no-action nonpublic information obligations offering price offers and sales officer participating person plaintiff prior private offering Proposed Rules prospectus proxy card proxy statement public offering purchase pursuant reasonable registrant's registration statement Regulation D Regulation S-K reporting companies request resale restricted securities results of operations safe harbor Sarbanes-Oxley Act Schedule 13D SEC's Section Section 10(b Securities Act Securities Exchange Act Securities Law June securities offered sell shareholders shares solicitation specific Staff supra note tender offer transactions underwriter