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 77
Page 1-11
... issuer , underwriter , or dealer . To appreciate how Section 4 ( 1 ) preserves the desired goals of Section 5 for a ... issuer ; ( 2 ) a person in a con- trol relationship with the issuer ( affiliate of an issuer ) ; ( 3 ) a per- son who ...
... issuer , underwriter , or dealer . To appreciate how Section 4 ( 1 ) preserves the desired goals of Section 5 for a ... issuer ; ( 2 ) a person in a con- trol relationship with the issuer ( affiliate of an issuer ) ; ( 3 ) a per- son who ...
Page 1-74
... issuer had to exercise included , but was not necessarily limited to , the following three precautions : ( 1 ) The issuer had to make reasonable inquiry to determine whether each purchaser was acquiring the securities for his own ...
... issuer had to exercise included , but was not necessarily limited to , the following three precautions : ( 1 ) The issuer had to make reasonable inquiry to determine whether each purchaser was acquiring the securities for his own ...
Page 4-76
... issuer , the film itself , must be removed from the issuer's state if the goals of the business venture are to be realized . Under these circumstances , the issuer will not be deemed to be doing business within the state of its ...
... issuer , the film itself , must be removed from the issuer's state if the goals of the business venture are to be realized . Under these circumstances , the issuer will not be deemed to be doing business within the state of its ...
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