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 7-139
J. William Hicks. [ 9 ] Purchaser Representative : Rule 501 ( h ) Rule 501 ( h ) states : Purchaser representative . ' Purchaser representative ' shall mean any person who satisfies all of the following conditions or who the issuer ...
J. William Hicks. [ 9 ] Purchaser Representative : Rule 501 ( h ) Rule 501 ( h ) states : Purchaser representative . ' Purchaser representative ' shall mean any person who satisfies all of the following conditions or who the issuer ...
Page 7-140
... representative or his affiliates and the issuer or its affiliates does not relieve the purchaser representative of his obligation to act in the interest of the purchaser . The definition of " purchaser representative " in Rule 501 ( h ) ...
... representative or his affiliates and the issuer or its affiliates does not relieve the purchaser representative of his obligation to act in the interest of the purchaser . The definition of " purchaser representative " in Rule 501 ( h ) ...
Page 7-145
... representative who received compensation from the issuer from qualifying as an offeree representative . See Sec . Act Release No. 5913 1978 WL 20301 , [ 1978 Transfer Binder ] Fed . Sec . L. Rep . ( CCH ) ΒΆ 81,532 , at 80,174 ( Mar. 6 ...
... representative who received compensation from the issuer from qualifying as an offeree representative . See Sec . Act Release No. 5913 1978 WL 20301 , [ 1978 Transfer Binder ] Fed . Sec . L. Rep . ( CCH ) ΒΆ 81,532 , at 80,174 ( Mar. 6 ...
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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