Resales of Restricted Securities, 2022 ed. (Securities Law Handbook Series)

In Resales of Restricted Securities renowned author J. William Hicks alerts you to judicial, legislative, and administrative developments that have an impact on clients relevant to public, private, and extraterritorial resales. Use the interpretations and guidance found in the text to help clients avoid legal traps that could trigger financial malpractice suits. Topics include:

• The transaction concept and theoretical foundations for the regulation of resales
• Identifying troublesome resales
• Public resales and Rule 144
• Public and private resales and Rule 144(k)
• Private resales and Section 4(1*)
• Private resales and Rule 144A
• Extraterritorial resales and Rule 904 of Regulation S

CHAPTER 1. INTRODUCTION

CHAPTER 2. THEORETICAL FOUNDATION FOR THE REGULATION OF RESALES: THE TRANSACTION CONCEPT

CHAPTER 3. PRACTICAL PROBLEMS: IDENTIFYING TROUBLESOME RESALES

CHAPTER 4. PUBLIC RESALES: RULE 144

CHAPTER 5. PUBLIC AND PRIVATE RESALES: PRIOR RULE 144(K)

CHAPTER 6. PRIVATE RESALES: ‘‘SECTION 4(A)(1½)’’

CHAPTER 7. PRIVATE RESALES: RULE 144A

CHAPTER 8. EXTRATERRITORIAL RESALES: RULE 904 OFREGULATION S

Table of Laws and Rules

Table of Additional Authorities

Table of Cases

Index