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 53
Page 3-154
... authorized agency , which of the several bodies listed in Section 3 ( a ) ( 10 ) must be " expressly authorized by law to grant such approv- al ? " One possible construction of the exemptive provision is that ex- press authorization ...
... authorized agency , which of the several bodies listed in Section 3 ( a ) ( 10 ) must be " expressly authorized by law to grant such approv- al ? " One possible construction of the exemptive provision is that ex- press authorization ...
Page 3-167
... authorization for " agencies of the United States . " Although the General Counsel believed that the words " expressly authorized . . . by law ” did not apply to federal agencies , 23 the SEC staff has denied requests for no- action ...
... authorization for " agencies of the United States . " Although the General Counsel believed that the words " expressly authorized . . . by law ” did not apply to federal agencies , 23 the SEC staff has denied requests for no- action ...
Page 3-173
... authorized agency of the state . It is not clear whether Section 3 ( a ) ( 10 ) would apply if the hearing and approval came from an agency created by a local governmental unit . For exam- ple , suppose a county legislature , adopted a ...
... authorized agency of the state . It is not clear whether Section 3 ( a ) ( 10 ) would apply if the hearing and approval came from an agency created by a local governmental unit . For exam- ple , suppose a county legislature , adopted a ...
Contents
Rule 144d3 10277 | lxxii |
Chapter | lxxxi |
Interest 6175 | lxxxv |
Copyright | |
135 other sections not shown
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Common terms and phrases
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