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 80
Page 1-79
... pursuant to this rule , other than offers or sales of securities pursuant to any section 3 ( b ) exemption from registration or any employee plan as defined in paragraph ( d ) ( 1 ) of Rule 16b - 3 under the Securities Exchange Act of ...
... pursuant to this rule , other than offers or sales of securities pursuant to any section 3 ( b ) exemption from registration or any employee plan as defined in paragraph ( d ) ( 1 ) of Rule 16b - 3 under the Securities Exchange Act of ...
Page 3-90
... pursuant to a Chapter X plan of reorganization or a Chapter XI arrangement.91 Despite the substantive and procedural differences between the two proceedings , the exemptions were virtually identi- cal . Section 264 ( a ) ( 2 ) of ...
... pursuant to a Chapter X plan of reorganization or a Chapter XI arrangement.91 Despite the substantive and procedural differences between the two proceedings , the exemptions were virtually identi- cal . Section 264 ( a ) ( 2 ) of ...
Page 4-22
... pursuant to the exemptions provided by Section 3 or Section 4 ( 2 ) of the Act or pursuant to a registration statement filed under the Act , that take place prior to the six month period immediately preceding or after the six month ...
... pursuant to the exemptions provided by Section 3 or Section 4 ( 2 ) of the Act or pursuant to a registration statement filed under the Act , that take place prior to the six month period immediately preceding or after the six month ...
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