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 90
Page 6-86
... interest in the company and the proposed offering before it commits itself to a full blown Regulation A offering . By con- trast , solicitations of interest among prospective investors are not per- mitted prior to the filing of a ...
... interest in the company and the proposed offering before it commits itself to a full blown Regulation A offering . By con- trast , solicitations of interest among prospective investors are not per- mitted prior to the filing of a ...
Page 6-133
... interest is material , his relationship to the issuer , the nature of his interest in the transaction , and , where practicable , the amount of his interest.25 24 Item 11 of Part II . In In re Gold Crown Mining Corp. , Sec . Act Release ...
... interest is material , his relationship to the issuer , the nature of his interest in the transaction , and , where practicable , the amount of his interest.25 24 Item 11 of Part II . In In re Gold Crown Mining Corp. , Sec . Act Release ...
Page 6-135
... interest in such transaction by rea- son of such position or relationship . " 27 However , a person is deemed not to have a material indirect interest in a transaction for purposes of this portion of the offering circular where : ( a ) ...
... interest in such transaction by rea- son of such position or relationship . " 27 However , a person is deemed not to have a material indirect interest in a transaction for purposes of this portion of the offering circular where : ( a ) ...
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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