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 79
Page 7-100
... Question ( 20 ) , at 2637-5 ( corporation ) ; Id . at Question ( 29 ) : Question : A trustee of a trust has a net worth of $ 1,500,000 . Is the trustee's pur- chase of securities for the trust that of an accredited investor under Rule ...
... Question ( 20 ) , at 2637-5 ( corporation ) ; Id . at Question ( 29 ) : Question : A trustee of a trust has a net worth of $ 1,500,000 . Is the trustee's pur- chase of securities for the trust that of an accredited investor under Rule ...
Page 7-282
... Question ( 82 ) , at 2637-17 . 1 Release No. 6455 , Question ( 84 ) . 1 Compare the present position with the requirement under Rule 503 prior to amendment . Release No. 6455 , Question ( 85 ) . 1 Rule 503 ( a ) . 2 Rule 503 ( b ) ...
... Question ( 82 ) , at 2637-17 . 1 Release No. 6455 , Question ( 84 ) . 1 Compare the present position with the requirement under Rule 503 prior to amendment . Release No. 6455 , Question ( 85 ) . 1 Rule 503 ( a ) . 2 Rule 503 ( b ) ...
Page 7-321
... Question ( 3 ) occurred during the past twelve months . Issuer : Ten months ago , Mellow sold 5,000 shares of its unregis- tered common stock at $ 60 per share to five wealthy business execu- tives , all of whom represented that they ...
... Question ( 3 ) occurred during the past twelve months . Issuer : Ten months ago , Mellow sold 5,000 shares of its unregis- tered common stock at $ 60 per share to five wealthy business execu- tives , all of whom represented that they ...
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Common terms and phrases
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