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 66
Page 6-224
... exemption with respect to a particular investor if the issuer failed to comply with a requirement under the exemption , provided that the failure did not pertain to a provision of the exemption directly intended to protect that person ...
... exemption with respect to a particular investor if the issuer failed to comply with a requirement under the exemption , provided that the failure did not pertain to a provision of the exemption directly intended to protect that person ...
Page 7-358
... exemption : " Exemption . Offers and sales of securities by an issuer that satisfy the conditions in paragraph ( b ) of this ยง230.506 shall be deemed to be transactions not involving and public offering within the meaning of section 4 ...
... exemption : " Exemption . Offers and sales of securities by an issuer that satisfy the conditions in paragraph ( b ) of this ยง230.506 shall be deemed to be transactions not involving and public offering within the meaning of section 4 ...
Page 8-69
... exemption . The exemption is not conditioned upon the imposition of resale limi- tations , a particularly troublesome aspect of Regulation D. Finally , offers and sales that are exempt under Rule 701 are deemed to be a part of a single ...
... exemption . The exemption is not conditioned upon the imposition of resale limi- tations , a particularly troublesome aspect of Regulation D. Finally , offers and sales that are exempt under Rule 701 are deemed to be a part of a single ...
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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