 | Administrative law - 1988 - 536 pages
...unaffected. § 230.505 Exemption for limited offers and sales of securities not exceeding $5,000,000. (a) Exemption. Offers and sales of securities that satisfy the conditions in paragraph (b) of this section by an issuer that is not an investment company shall be exempt from the provisions of section... | |
 | Administrative law - 1990 - 560 pages
...20, 1989] § 230.505 Exemption for limited offers and sales of securities not exceeding $5,000,000. (a) Exemption. Offers and sales of securities that satisfy the conditions in paragraph (b) of this section by an issuer that is not an investment company shall be exempt from the provisions of section... | |
 | Administrative law - 1997 - 734 pages
...14, 1996] §230.605 Exemption for limited offers and sales of securities not exceeding $5,000,000. (a) Exemption. Offers and sales of securities that satisfy the conditions in paragraph (b) of this section by an issuer that is not an investment company shall be exempt from the provisions of section... | |
 | Administrative law - 1995 - 764 pages
...required by paragraph (b)(2)(i) (B) (7), (2) or (3) of this section, as appropriate. (ii) If the issuer is subject to the reporting requirements of section 13 or 15(d) of the Exchange Act, at a reasonable time prior to the sale of securities the issuer shall furnish to the purchaser the... | |
 | Administrative law - 2001 - 742 pages
...from those for all other security holders. For purposes of this subsection, an issuer which is not subject to the reporting requirements of section 13 or 15(d) of the Exchange Act may satisfy the requirements of Part IB or C. of Form S-4 by compliance with paragraph (b)(2)(i) of... | |
 | Administrative law - 2000 - 714 pages
...249.105 of this chapter); (5) Form 144 (§239.144 of this chapter), where the issuer of the securities is subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act (15 USC 78m or 78o(d), respectively); (6) Periodic reports and reports with respect to issuances of... | |
 | Administrative law - 1979 - 1804 pages
...filing and identifying the amendment. (c) Every issuer which on the effective date of this section is subject to the reporting requirements of section 13 or 15(d) of the Act shall, in its first annual report filed after such effective date pursuant to either of such sections,... | |
 | Administrative law - 1998 - 784 pages
...14, 1996] } 230.606 Exemption for limited offers and sales of securities not exceed-ing $5,000,000. on shall order otherwise, 1 paragraph (b) of this section by an 1 Issuer that Is not an Investment com-pany shall be exempt from... | |
 | Administrative law - 1999 - 704 pages
...securities that satisfy the provisions of paragraphs (b) and (c) of this §230.701 by an issuer that is not subject to the reporting requirements of section 13 or 15(d) of the Securities Exchange Act of 1934 (the Exchange Act) [15 USC 78a et seq.} and is not an investment company... | |
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Reg. § 230.504. (a) Exemption. Offers and sales of securities that satisfy the conditions in paragraph (b) of this... 
