The Telephone Interpretations Manual Supplement
Article Abstract:
The SEC's Division of Corporation Finance in March 1999 issued a supplement to the Telephone Interpretations Manual (TIM) that it originally issued in 1985. TIM consists of interpretations of SEC regulations that SEC staff members provided over the telephone in response to inquiries. As such, members of the securities bar should be familiar with TIM and its supplement. The supplement covers subjects such as Securities Act sections and rules.
Publication Name: Securities Regulation Law Journal
Subject: Law
ISSN: 0097-9554
Year: 1999
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The Section 3(a)(10) exemption has been torpedoed but is still afloat and making headway
Article Abstract:
The National Securities Markets Improvement Act of 1996 (NSMIA) appeared to curtail the exemption to securities registration requirements provided by Section 3(a)(10) of the Securities Act of 1933. This exemption has been very beneficial for corporate mergers and acquisitions. Statements by the SEC have clarified that NSMIA preempts many state fairness hearings on acquisitions but generally leaves the 3(a)(10) exemption intact.
Publication Name: Securities Regulation Law Journal
Subject: Law
ISSN: 0097-9554
Year: 1999
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Commission seeks comment on market structure issues
Article Abstract:
The request of the SEC for comments on the fragmentation of the US securities markets is discussed. Options for addressing market fragmentation are set forth.
Publication Name: Securities Regulation Law Journal
Subject: Law
ISSN: 0097-9554
Year: 2000
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