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 80
Page 6-177
... period , the prospective offeror might apply for a with- drawal of the offering statement . Alternatively , the issuer or selling security holder might elect to proceed with its plans for a Regulation A offering by filing an amendment ...
... period , the prospective offeror might apply for a with- drawal of the offering statement . Alternatively , the issuer or selling security holder might elect to proceed with its plans for a Regulation A offering by filing an amendment ...
Page 7-152
... period of time during which offers or sales are made pursuant to Rules 504 , 505 , or 506 . A represents the six - month period immediately preceding X. AA represents the six - month period immediately after X. B represents the period ...
... period of time during which offers or sales are made pursuant to Rules 504 , 505 , or 506 . A represents the six - month period immediately preceding X. AA represents the six - month period immediately after X. B represents the period ...
Page 7-155
... period A — the second step in the analysis required by paragraph ( a ) is unnec- essary . In the hypothetical involving C Corporation , only one of the two offerings that occurred within a twelve - month period was exempted under ...
... period A — the second step in the analysis required by paragraph ( a ) is unnec- essary . In the hypothetical involving C Corporation , only one of the two offerings that occurred within a twelve - month period was exempted under ...
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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