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 7-97
... investment . ( 5 ) In both cases , no partner can avoid financial responsibility for an investment committee decision nor can any single partner compel the investment commit- tee to make an investment which it has previously rejected as ...
... investment . ( 5 ) In both cases , no partner can avoid financial responsibility for an investment committee decision nor can any single partner compel the investment commit- tee to make an investment which it has previously rejected as ...
Page 7-288
... investment company . The SEC staff has decided that the term " investment company " in Rule 504 ( a ) should be defined in accor- dance with Section 3 ( c ) ( 1 ) of the Investment Act.1 This interpretation has important consequences ...
... investment company . The SEC staff has decided that the term " investment company " in Rule 504 ( a ) should be defined in accor- dance with Section 3 ( c ) ( 1 ) of the Investment Act.1 This interpretation has important consequences ...
Page 8-87
... investment companies or unit investment trusts , registered or required to be registered , or non - registered closed - end investment companies that are required to be registered under the Investment Company Act of 1940.12 to require ...
... investment companies or unit investment trusts , registered or required to be registered , or non - registered closed - end investment companies that are required to be registered under the Investment Company Act of 1940.12 to require ...
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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