Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
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Results 1-3 of 68
Page 7-148
... ( Rule 502 ( a ) ) ; ( 2 ) information requirements ( Rule 502 ( b ) ) ; 3 ( 3 ) limitation on manner of offering ( Rule 502 ( c ) ) ; and ( 4 ) limitations on resale ( Rule 502 ( d ) ) . 3 All four of the conditions are applicable to ...
... ( Rule 502 ( a ) ) ; ( 2 ) information requirements ( Rule 502 ( b ) ) ; 3 ( 3 ) limitation on manner of offering ( Rule 502 ( c ) ) ; and ( 4 ) limitations on resale ( Rule 502 ( d ) ) . 3 All four of the conditions are applicable to ...
Page 7-332
... Rule 504 is equally relevant to Rule 505 ( b ) ( 2 ) ( i ) . Note 2 to Rule 504 is not restated in Rule 505.9 Nonetheless , the principle of the note does apply to Rule 505.10 [ b ] Limitation on Number of Purchasers Rule 505 ( b ) ( 2 ) ...
... Rule 504 is equally relevant to Rule 505 ( b ) ( 2 ) ( i ) . Note 2 to Rule 504 is not restated in Rule 505.9 Nonetheless , the principle of the note does apply to Rule 505.10 [ b ] Limitation on Number of Purchasers Rule 505 ( b ) ( 2 ) ...
Page 7-350
... Rule 262 ( b ) , why an issuer must be careful in selecting a person to serve as a paid solicitor for a Rule 505 offering . Under Rule 262 ( c ) , disqualification occurs for the securities of an issuer if a paid solicitor of that ...
... Rule 262 ( b ) , why an issuer must be careful in selecting a person to serve as a paid solicitor for a Rule 505 offering . Under Rule 262 ( c ) , disqualification occurs for the securities of an issuer if a paid solicitor of that ...
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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