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 54
Page 1-67
... considered in applying such limitation . For example , if the issuer in the prior note made its third sale on May 31 , 1976 in the amount of $ 30,000 , the rule would not be available for that sale ; but the exemption for the prior two ...
... considered in applying such limitation . For example , if the issuer in the prior note made its third sale on May 31 , 1976 in the amount of $ 30,000 , the rule would not be available for that sale ; but the exemption for the prior two ...
Page 3-41
... considered . All of the outstanding common stock of the liquidating corporation was held by a single corporate shareholder . The SEC staff refused to recommend no - action because “ the procedure for approving the settlement does not ...
... considered . All of the outstanding common stock of the liquidating corporation was held by a single corporate shareholder . The SEC staff refused to recommend no - action because “ the procedure for approving the settlement does not ...
Page 4-107
... considered to be in Illinois or Minnesota at the time of the Rule 147 offer and sale . It concluded that the following facts supported the conclusion that the offeree's principal residence continued to be in Minnesota : “ [ H ] is house ...
... considered to be in Illinois or Minnesota at the time of the Rule 147 offer and sale . It concluded that the following facts supported the conclusion that the offeree's principal residence continued to be in Minnesota : “ [ H ] is house ...
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