Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
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Results 1-3 of 67
Page 3-13
... Section 3 ( a ) ( 4 ) , securities issued in intrastate offerings under Section 3 ( a ) ( 11 ) , and municipal securities issued within the issuer's state under Sec- tion 3 ( a ) ( 2 ) . In other words , unless securities were exempted ...
... Section 3 ( a ) ( 4 ) , securities issued in intrastate offerings under Section 3 ( a ) ( 11 ) , and municipal securities issued within the issuer's state under Sec- tion 3 ( a ) ( 2 ) . In other words , unless securities were exempted ...
Page 3-116
... Section 2 ( a ) ( 11 ) of the Securities Act . Exemp- tions pursuant to Section 1145 are available " [ e ] xcept with respect to an entity that is an underwriter as defined in subsection ( b ) of this section . " 43 Subsection ( b ) of ...
... Section 2 ( a ) ( 11 ) of the Securities Act . Exemp- tions pursuant to Section 1145 are available " [ e ] xcept with respect to an entity that is an underwriter as defined in subsection ( b ) of this section . " 43 Subsection ( b ) of ...
Page 3-197
... Section 4 ( 1 ) will prevent them from claiming that exemption for their resales.21 First , Section 1145 ( b ) ( 3 ) provides that an “ entity other than an enti- ty of the kind specified in paragraph ( 1 ) of this subsection [ i.e. ...
... Section 4 ( 1 ) will prevent them from claiming that exemption for their resales.21 First , Section 1145 ( b ) ( 3 ) provides that an “ entity other than an enti- ty of the kind specified in paragraph ( 1 ) of this subsection [ i.e. ...
Contents
Rule 144d3 10277 | lxxii |
Chapter | lxxxi |
Interest 6175 | lxxxv |
Copyright | |
135 other sections not shown
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acquired Act Release Action Letter affiliate amendment apply approval assets bank Bankruptcy Code broker-dealer cash claims Commission common stock convertible debentures convertible securities Corp corporation counsel court creditors curities debentures debt debtor deemed disclosure distribution entity Exchange Act exchange offer exemption under Section federal filed hearing infra interest interpretation intrastate offering investment investors involved issuance issuer limited partnership ment merger nonaffiliate notes offer and sale offer or sale offerees outstanding Pacwest paragraph partners payment percent person preferred stock prior purchase purposes pursuant to Section recapitalization registration requirements registration statement Regulation reorganization residents restricted securities sales of securities SEC No-Action Letter SEC staff Section 4(1 Securities Act securities issued security holders sell Sept settlement shareholders shares Softimage sold solicitation staff agreed statute stockholders subparagraph supra tion transaction Transfer Binder underwriter unregistered securities voting trust