| Responsibilities of Corporate Directors and Officers |
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| Boards of directors and officers of corporations have distinct functions. Generally, directors set corporate policy while officers carry out that policy. More... |
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| "Mini" Tender Offers |
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| Tender offers for less than five percent of the stock of a company have been labeled mini-tender offers. Such offers are subject to some regulation but are not subject to the full range of rules enacted to protect investors who own stock in a company for which a full tender offer is made. Thus, while a mini-tender offer may include a premium over market price for a selling shareholder, the lack of all of the protections provided for recipients of a full tender offer suggests a more cautious view of the merits of the mini-tender offer. More... |
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| Medallion Signature Guarantees |
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| Transfer agents and issuers of securities, pursuant to the Uniform Commercial Code, may require a guarantee of the validity of the signature of the person transferring the securities in order to prevent a fraudulent transfer. The Securities and Exchange Commission has designated institutions that may issue such guarantees, and the Securities Transfer Association has developed the Medallion Signature program for those institutions to follow in guaranteeing signatures. More... |
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| Investment Manager Reports To Be Filed With the Securities and Exchange Commission |
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| Institutional investment managers must report to the Securities and Exchange Commission on Form 13F those securities registered under Section 13(f) of the Securities Act of 1933 over which the investment managers exercise discretion. More... |
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| Copyrights, Patents, and Trademarks Defined |
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| Copyrights, patents, and trademarks can be among the most valuable assets of a business. More... |
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