Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
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Page 6-28
... defined in Rule 300 , or similar interests in other mineral rights ; ( 4 ) certificates of interest as defined in Rule 360. Release No. 2410. Rule 221 ( a ) was amended in 1941 to exclude “ securities of Investment trusts or investment ...
... defined in Rule 300 , or similar interests in other mineral rights ; ( 4 ) certificates of interest as defined in Rule 360. Release No. 2410. Rule 221 ( a ) was amended in 1941 to exclude “ securities of Investment trusts or investment ...
Page 7-33
... defined in a Commission rule ; 11 and ( 4 ) se- curities offered or sold in connection with certain specified transac- tions that are exempt under the 1933 Act.12 The term " senior security " that appears in Section 18 ( b ) ( 1 ) ( C ) ...
... defined in a Commission rule ; 11 and ( 4 ) se- curities offered or sold in connection with certain specified transac- tions that are exempt under the 1933 Act.12 The term " senior security " that appears in Section 18 ( b ) ( 1 ) ( C ) ...
Page 7-59
... defined in section 3 ( a ) ( 2 ) of the Act , or any savings and loan association or other institution as defined in section 3 ( a ) ( 5 ) ( A ) of the Act whether acting in its individual or fiduciary capacity ; any broker or dealer ...
... defined in section 3 ( a ) ( 2 ) of the Act , or any savings and loan association or other institution as defined in section 3 ( a ) ( 5 ) ( A ) of the Act whether acting in its individual or fiduciary capacity ; any broker or dealer ...
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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