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 86
Page 6-46
... effect arises only where a " partner , director or officer ” of “ any underwriter of the securities to be offered . " This seems to suggest that the underwriter must have a partner , director , or officer who has as an individual been ...
... effect arises only where a " partner , director or officer ” of “ any underwriter of the securities to be offered . " This seems to suggest that the underwriter must have a partner , director , or officer who has as an individual been ...
Page 6-70
... effect that no transfer of the deposited shares shall be made unless a registration statement under the Securities Act of 1933 , as amended , with respect to such shares is in effect or an exemp- tion from the registration requirements ...
... effect that no transfer of the deposited shares shall be made unless a registration statement under the Securities Act of 1933 , as amended , with respect to such shares is in effect or an exemp- tion from the registration requirements ...
Page 6-123
... effect on the business or financial condition of the company " will not provide meaningful disclosure " unless accompanied by a brief explanation of the basis for such statements or the effect such conditions may have on the business ...
... effect on the business or financial condition of the company " will not provide meaningful disclosure " unless accompanied by a brief explanation of the basis for such statements or the effect such conditions may have on the business ...
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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