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 7-149
... considered part of that Regulation D offering , so long as during those six months periods there are no offers or ... considered ' integrated ' ) depends on the particular facts and circumstances . The following factors should be ...
... considered part of that Regulation D offering , so long as during those six months periods there are no offers or ... considered ' integrated ' ) depends on the particular facts and circumstances . The following factors should be ...
Page 7-226
... considered for the Symposium . " In registration " firms are not considered for the Symposium , but public companies seeking addition- al financing may be considered in the future . • Prospective presenters submit a business plan to ...
... considered for the Symposium . " In registration " firms are not considered for the Symposium , but public companies seeking addition- al financing may be considered in the future . • Prospective presenters submit a business plan to ...
Page 8-27
... considered an investment company to the extent that it is in- volved in owning , holding , trading investing or ... considered investment securities under the Act , and if those securities amount to more than 40 % of its total assets ...
... considered an investment company to the extent that it is in- volved in owning , holding , trading investing or ... considered investment securities under the Act , and if those securities amount to more than 40 % of its total assets ...
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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