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 81
Page 7-156
... employee benefit plan ? " ( 2 ) How can offerings made pursuant to an employee benefit plan be structured to comply with Regulation D ? 8 ( 3 ) What is the effect on an employee plan offering made pursu- ant to Regulation D of a ...
... employee benefit plan ? " ( 2 ) How can offerings made pursuant to an employee benefit plan be structured to comply with Regulation D ? 8 ( 3 ) What is the effect on an employee plan offering made pursu- ant to Regulation D of a ...
Page 7-157
... employee benefit plan within the six - month period . In order to resolve the possible in- tegration of the Regulation D offering with the employee plan offer- ing , the issuer should consider the factors listed in the Note to Rule 502 ...
... employee benefit plan within the six - month period . In order to resolve the possible in- tegration of the Regulation D offering with the employee plan offer- ing , the issuer should consider the factors listed in the Note to Rule 502 ...
Page 7-159
... employee stock options would be permitted . Where these procedures are fol- lowed , Mosiac Technologies teaches that the offerings made pursuant to the stock option plan during the exercise windows will not be inte- grated . [ D ] ...
... employee stock options would be permitted . Where these procedures are fol- lowed , Mosiac Technologies teaches that the offerings made pursuant to the stock option plan during the exercise windows will not be inte- grated . [ D ] ...
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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