82,503
edits
Safe harbor: Difference between revisions
Jump to navigation
Jump to search
no edit summary
Amwelladmin (talk | contribs) (Created page with "My port in your heavy storm. A favourite {{tag|metaphor}} for U.S. Securities lawyers, who find safe harbors]] in many unexpected places, from the vicissitudes of: *The Ba...") |
Amwelladmin (talk | contribs) No edit summary |
||
| Line 1: | Line 1: | ||
My port in your heavy storm. | My port in your heavy storm. | ||
A favourite {{tag|metaphor}} for U.S. Securities lawyers, who find safe | A favourite {{tag|metaphor}} for U.S. Securities lawyers, who find [[safe harbor]]s in many unexpected places, to shelter them and their clients from the vicissitudes of: | ||
*The [[Bankruptcy Code]], when you are endeavoring to [[close out]] derivative [[master agreement]]s against U.S. corporations (and - perhaps not - [[ERISA]] plans); | *The [[Bankruptcy Code]], when you are endeavoring to [[close out]] derivative [[master agreement]]s against U.S. corporations (and - perhaps not - [[ERISA]] plans); | ||
*The [[Investment Advisors Act of 1940]], for broker/dealers wishing to bundle fees for [[research services]] into their [[commissions]] for equity brokerage; | *The [[Investment Advisors Act of 1940]], for broker/dealers wishing to bundle fees for [[research services]] into their [[commissions]] for equity brokerage; | ||
*The registration requirements of the [[Securities Act of 1933]], to be found under [[Rule 144A]] of that spectacular statute. | *The onerous registration requirements of the [[Securities Act of 1933]], to be found under [[Rule 144A]] of that spectacular statute when selling securities to [[qualifying institutional buyer]]s, and under [[Regulation S]] for non-[[US person]]s. | ||
There are doubtless many more. | There are doubtless many more. | ||