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 73
Page 1-24
... position by the staff is binding on the Commission , it does not serve as a bar to a private litigant who wishes to challenge the legality of a transaction consummated in reliance upon the administrative position.3 Furthermore , the ...
... position by the staff is binding on the Commission , it does not serve as a bar to a private litigant who wishes to challenge the legality of a transaction consummated in reliance upon the administrative position.3 Furthermore , the ...
Page 2-67
... position that appears inconsistent with other interpretative letters suggesting that a parent corporation's guarantee of payment would not qualify it as an issuer for purposes of the exemp- tion.2 The staff's position in Downe can be ...
... position that appears inconsistent with other interpretative letters suggesting that a parent corporation's guarantee of payment would not qualify it as an issuer for purposes of the exemp- tion.2 The staff's position in Downe can be ...
Page 3-61
... position against the maneuverings of strong private groups in a subordinate position . Today , at least as frequently , the public interest is represented by public common stock or public subordinated debentures , while the persons in ...
... position against the maneuverings of strong private groups in a subordinate position . Today , at least as frequently , the public interest is represented by public common stock or public subordinated debentures , while the persons in ...
Contents
Rule 144d3 10277 | lxxii |
Chapter | lxxxi |
Interest 6175 | lxxxv |
Copyright | |
135 other sections not shown
Other editions - View all
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