Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
From inside the book
Results 1-3 of 56
Page 4-117
... intrastate securities to a nonresident , shortly after the offering under Section 3 ( a ) ( 11 ) , is incon- sistent with the exemption.8 Although avid intrastate trading among residents is permitted , as a practical matter , an issuer ...
... intrastate securities to a nonresident , shortly after the offering under Section 3 ( a ) ( 11 ) , is incon- sistent with the exemption.8 Although avid intrastate trading among residents is permitted , as a practical matter , an issuer ...
Page 4-125
... intrastate in nature . ” 39 According to the defendants , this expression of congressional intent is inconsistent with an interpretation of Section 3 ( a ) ( 11 ) that requires the issuer to monitor each security holder's resale for an ...
... intrastate in nature . ” 39 According to the defendants , this expression of congressional intent is inconsistent with an interpretation of Section 3 ( a ) ( 11 ) that requires the issuer to monitor each security holder's resale for an ...
Page 4-152
... intrastate offerings in New York had totalled almost $ 100 million during the pre- ceding three years . 4 Loss at ... Intrastate Exemption of the Securities Act of 1933 in 1971 , ” 40 U. Cin . L. Rev. 779 , 783 ( 1971 ) . The authors ...
... intrastate offerings in New York had totalled almost $ 100 million during the pre- ceding three years . 4 Loss at ... Intrastate Exemption of the Securities Act of 1933 in 1971 , ” 40 U. Cin . L. Rev. 779 , 783 ( 1971 ) . The authors ...
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