Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
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Results 1-3 of 40
Page 11-264
... holding requirements ] . Of the remaining requirements under Rule 144 ( k ) , only the issue of affiliate status is subject to possible change once the three year holding period is satisfied . Although , it is true that a non ...
... holding requirements ] . Of the remaining requirements under Rule 144 ( k ) , only the issue of affiliate status is subject to possible change once the three year holding period is satisfied . Although , it is true that a non ...
Page 13-15
... Holding Company Act . But the strong post - World War II market acti- vity of 1945 and 1946 , which witnessed large blocks of securi- ties being sold without unusual broker - dealer support , de- stroyed the utility of such an ...
... Holding Company Act . But the strong post - World War II market acti- vity of 1945 and 1946 , which witnessed large blocks of securi- ties being sold without unusual broker - dealer support , de- stroyed the utility of such an ...
Page 77
... holding periods for category 2 securities were increased . Rather than 40 days for a category 2 securi- ty , a more appropriate holding period may be six months , which would piggy- back on the holding period for Section 16 ( b ) —a ...
... holding periods for category 2 securities were increased . Rather than 40 days for a category 2 securi- ty , a more appropriate holding period may be six months , which would piggy- back on the holding period for Section 16 ( b ) —a ...
Contents
CHAPTER | 11-4 |
Introduction | 11-5 |
c Significance of Rule 506 | 11-16 |
Copyright | |
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Common terms and phrases
5th Cir accredited investor affiliate amendment apply broker broker-dealer broker's special CCH Fed Commission common stock Corp corporation court customers dealer deemed disclosure discussed distribution employees entity equity Exchange Act executive exemption under Section factors federal FHLMC fiche FNMA funds GNMA infra interest interpretation involved Ira Haupt issue issuer letter from SEC limited partnership loans market maker market-maker ment Microfiche mortgage backed securities number of offerees offers and sales offers or sales offshore paragraph participation partner person plaintiffs prior private offering private placement proposed prospectus public offering purchaser purposes pursuant qualify Ralston Purina registration statement Regulation D relationship Release Number resale restricted safe harbor sales of securities SEC No-Action Letter SEC staff Section 4(2 securities offered sell securities seller shares sold solicitation sophistication special exemption subparagraph Supp supra term tion Transfer Binder trust underwriter United