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Full-Text Articles in Law
Definition Of Control In Secondary Distributions, Rutheford B. Campbell Jr.
Definition Of Control In Secondary Distributions, Rutheford B. Campbell Jr.
Law Faculty Scholarly Articles
Section 2(11) of the Securities Act of 1933 (Act) generally subjects the sale of securities by a person "controlling an issuer" to the same rules that govern the sale of securities by an issuer. Accordingly, before a "control" person may sell the securities he holds in the controlled corporation he must either register them with the Securities and Exchange Commission (Commission) or qualify for an exemption from the registration requirement. While the Act clearly requires that a "control" person either register or qualify for an exemption, it fails to define "control." Thus, the task of defining has fallen to the …
Foreign Bribes And The Securities Acts' Disclosure Requirements, Michigan Law Review
Foreign Bribes And The Securities Acts' Disclosure Requirements, Michigan Law Review
Michigan Law Review
The Securities Act of 1933 and the Securities Exchange Act of 1934 require most major corporations to disclose to investors all material information concerning company operations. Although they were not intended to regulate the conduct of business, these disclosure obligations can have a deterrent effect upon improper corporate activities. The recent revelation that a significant number of corporations have been making bribes and similar payments abroad has created interest in the feasibility of employing the disclosure requirements to curtail this practice. This Note will show that, despite recent pressures for change, the Securities and Exchange Commission has continued to view …
Commercial Paper: An Exempted Security Under Section 3 (A) (3) Of The Securities Act Of 1933, J. William Hicks
Commercial Paper: An Exempted Security Under Section 3 (A) (3) Of The Securities Act Of 1933, J. William Hicks
Articles by Maurer Faculty
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