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 7-352
... SEC or other governmental authorities in an investigation of matters related to the violation . ( 7 ) The absence of additional violations or disciplinary action ... No - Action Letter , 1999 WL 607858 ( Aug. 5 , 1999 ) ; Lazard Freres & Co.
... SEC or other governmental authorities in an investigation of matters related to the violation . ( 7 ) The absence of additional violations or disciplinary action ... No - Action Letter , 1999 WL 607858 ( Aug. 5 , 1999 ) ; Lazard Freres & Co.
Page 7-353
... SEC No - Action Letter , 1996 WL 391684 ( July 10 , 1996 ) ; Sybaris Clubs Int'l , Inc. , SEC No - Action Letter , 1996 WL 364797 ( July 1 , 1996 ) ; Gruntal & Co. , Inc. , SEC No - Action Letter , 1996 WL 182554 ( Apr. 9 , 1996 ) ...
... SEC No - Action Letter , 1996 WL 391684 ( July 10 , 1996 ) ; Sybaris Clubs Int'l , Inc. , SEC No - Action Letter , 1996 WL 364797 ( July 1 , 1996 ) ; Gruntal & Co. , Inc. , SEC No - Action Letter , 1996 WL 182554 ( Apr. 9 , 1996 ) ...
Page 8-7
... SEC No - Action Letter , 1974 WL 10098 ( Oct. 25 , 1974 ) ; Life Sec . of Iowa , SEC No - Action Letter , 1974 WL 10072 ( May 22 , 1974 ) . ( 2 ) Stock dividend : Mid - South Ins . Co. , SEC No - Action Letter , 1972 WL 10229 ( Nov. 22 ...
... SEC No - Action Letter , 1974 WL 10098 ( Oct. 25 , 1974 ) ; Life Sec . of Iowa , SEC No - Action Letter , 1974 WL 10072 ( May 22 , 1974 ) . ( 2 ) Stock dividend : Mid - South Ins . Co. , SEC No - Action Letter , 1972 WL 10229 ( Nov. 22 ...
Other editions - View all
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