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 6-34
... prior to the commencement of a Regulation A offering.1 [ e ] Post Office Fraud If the issuer , its predecessor , or an affiliated issuer “ is subject to a United States Postal Service false representation order , " within five years prior ...
... prior to the commencement of a Regulation A offering.1 [ e ] Post Office Fraud If the issuer , its predecessor , or an affiliated issuer “ is subject to a United States Postal Service false representation order , " within five years prior ...
Page 6-161
... prior to the date of its com- mencement . ” 12 Table 4 indicates the extent to which Regulation A offerings were effected with the assistance of professional underwrit- ers . The statistics are based on available SEC data as given in ...
... prior to the date of its com- mencement . ” 12 Table 4 indicates the extent to which Regulation A offerings were effected with the assistance of professional underwrit- ers . The statistics are based on available SEC data as given in ...
Page 6-178
... prior to the filing of an offering statement.2 Prior to 1992 , the delivery of an offering circular with a written offer did not assure an issuer or security holder the exemption it sought if the sales material was of a type that should ...
... prior to the filing of an offering statement.2 Prior to 1992 , the delivery of an offering circular with a written offer did not assure an issuer or security holder the exemption it sought if the sales material was of a type that should ...
Other editions - View all
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