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 76
Page 1-11
... person other than an issuer , underwriter , or dealer . " 3 Stat- ed differently , Section 4 ( 1 ) exempts all ... person in a con- trol relationship with the issuer ( affiliate of an issuer ) ; ( 3 ) a per- son who does not enjoy a ...
... person other than an issuer , underwriter , or dealer . " 3 Stat- ed differently , Section 4 ( 1 ) exempts all ... person in a con- trol relationship with the issuer ( affiliate of an issuer ) ; ( 3 ) a per- son who does not enjoy a ...
Page 1-56
... Person . The term " person " when used with reference to a person who sells securities in reliance upon the exemption provided by this rule includes , in addition to such person , all of the following persons : " ( a ) Any relative or ...
... Person . The term " person " when used with reference to a person who sells securities in reliance upon the exemption provided by this rule includes , in addition to such person , all of the following persons : " ( a ) Any relative or ...
Page 1-83
... persons . In order for an issuer to treat a purchaser as an accredited person , it and any person acting on its behalf had to have rea- sonable grounds to believe and , after making reasonable inqui- ry , had to have believed that the ...
... persons . In order for an issuer to treat a purchaser as an accredited person , it and any person acting on its behalf had to have rea- sonable grounds to believe and , after making reasonable inqui- ry , had to have believed that the ...
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