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 78
Page 6-35
... issuer . The impact of the disqualifications pro- vided for under Rule 262 ( a ) is reduced to the extent of the ... issuer arose , if the affiliated entity is not in control of the issuer and if the affiliated entity and the issuer are ...
... issuer . The impact of the disqualifications pro- vided for under Rule 262 ( a ) is reduced to the extent of the ... issuer arose , if the affiliated entity is not in control of the issuer and if the affiliated entity and the issuer are ...
Page 7-131
... issuer ” as : Issuer . The definition of the term ' issuer ' in section 2 ( 4 ) of the Act shall apply , except that in the case of a proceeding under the Federal Bankruptcy Code [ 11 U.S.C. § 101 , et seq . ] , the trustee or debtor in ...
... issuer ” as : Issuer . The definition of the term ' issuer ' in section 2 ( 4 ) of the Act shall apply , except that in the case of a proceeding under the Federal Bankruptcy Code [ 11 U.S.C. § 101 , et seq . ] , the trustee or debtor in ...
Page 7-341
... issuer that is disqualified under this subpara- graph because of an affiliated issuer . Where the affiliation arises after the entry of the order , judgment , or decree on which the affiliated issuer's disqualification is based , a Rule ...
... issuer that is disqualified under this subpara- graph because of an affiliated issuer . Where the affiliation arises after the entry of the order , judgment , or decree on which the affiliated issuer's disqualification is based , a Rule ...
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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