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 72
Page 6-104
... Item 2. Application of Rule 262 State whether any of the persons identified in response to Item 1 are subject to any of the disqualification provisions set forth in Rule 262 . ( b ) If any such person is subject to these provisions ...
... Item 2. Application of Rule 262 State whether any of the persons identified in response to Item 1 are subject to any of the disqualification provisions set forth in Rule 262 . ( b ) If any such person is subject to these provisions ...
Page 6-122
... Item 508 ( a ) of Regulation S - K , 17 C.F.R. § 229.5 ( 1981 ) . 6 Item 4 ( b ) of Part II states : “ State briefly the discounts and commissions to be allowed or paid to dealers , including all cash , securities , contracts or other ...
... Item 508 ( a ) of Regulation S - K , 17 C.F.R. § 229.5 ( 1981 ) . 6 Item 4 ( b ) of Part II states : “ State briefly the discounts and commissions to be allowed or paid to dealers , including all cash , securities , contracts or other ...
Page 6-131
... Item 10 ( a ) ( 1 ) of Part II contains the following Note : " In the event none of the issuer's officers or directors have received a salary in the past twelve months , this item should be responded to for every officer and director ...
... Item 10 ( a ) ( 1 ) of Part II contains the following Note : " In the event none of the issuer's officers or directors have received a salary in the past twelve months , this item should be responded to for every officer and director ...
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accredited investor Act Release adopted Advisers Act affiliated aggregate offering price amendment apply April 11 broker-dealer business development company capital cited as Release Commission Commission's corporation directors employee benefit employee benefit plan entity equity escrow Exchange Act federal filing financial statements Form 1-A hereinafter cited included income infra interest Investment Act Investment Company issued issuer Item limited partnership material ment NASAA nonaccredited investors offer or sale offering statement offeror offers and sales organized paragraph partner Preliminary Offering Circular prior Proposed Rule prospective public offering purposes qualified registered offering registration statement Regulation A exemption Regulation A offering Regulation D Release Number S.E.C. Docket sale of securities SEC No-Action Letter SEC staff Section 3(b Securities Act securities offered shares small business sold specified subparagraph supra temporary suspension order term tion total assets transactions Transfer Binder trust underwriter