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 71
Page 6-31
... Registration Statement Disqualification will occur under Rule 262 ( a ) if an issuer , a pre- decessor , or an affiliated issuer has filed a registration statement under the Act " which is the subject of any pending proceeding or ...
... Registration Statement Disqualification will occur under Rule 262 ( a ) if an issuer , a pre- decessor , or an affiliated issuer has filed a registration statement under the Act " which is the subject of any pending proceeding or ...
Page 6-232
... registration Forms , the statistics for all registration statements under the Securities Act of 1933 reflect an average time period of 30 days between the filing of registra- tion statements and the issuance of the first staff comments ...
... registration Forms , the statistics for all registration statements under the Securities Act of 1933 reflect an average time period of 30 days between the filing of registra- tion statements and the issuance of the first staff comments ...
Page 7-303
... registration procedure , or provide a nonqualifying pro- cedure , the SEC revised Rule 504 ( b ) ( 1 ) to permit general solicitation and advertising in states which did not have a registration provision or had a nonqualifying procedure ...
... registration procedure , or provide a nonqualifying pro- cedure , the SEC revised Rule 504 ( b ) ( 1 ) to permit general solicitation and advertising in states which did not have a registration provision or had a nonqualifying procedure ...
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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