Small Business Informational Package |
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Page 2
... investment company registered under the Investment Company Act of 1940 or a business development company as defined in section 2 ( a ) ( 48 ) of that Act ; any Small Business Investment Company licensed by the U.S. Small Business ...
... investment company registered under the Investment Company Act of 1940 or a business development company as defined in section 2 ( a ) ( 48 ) of that Act ; any Small Business Investment Company licensed by the U.S. Small Business ...
Page 7
... investment company shall be exempt from the provisions of section 5 of the Act under section 3 ( b ) of the Act . ( b ) Conditions to be met . ( 1 ) General conditions . To qualify for exemption under this ยง 230.504 , offers and sales ...
... investment company shall be exempt from the provisions of section 5 of the Act under section 3 ( b ) of the Act . ( b ) Conditions to be met . ( 1 ) General conditions . To qualify for exemption under this ยง 230.504 , offers and sales ...
Page 12
... investment decisions are made by a plan trustee who is not a bank , insurance company , or registered investment adviser . Does the plan qualify as an accredited investor ? Answer : Not under Rule 501 ( a ) ( 1 ) . Rule 501 ( a ) ( 1 ) ...
... investment decisions are made by a plan trustee who is not a bank , insurance company , or registered investment adviser . Does the plan qualify as an accredited investor ? Answer : Not under Rule 501 ( a ) ( 1 ) . Rule 501 ( a ) ( 1 ) ...
Page 13
... investment decision at the time the limited partnership interest originally is purchased.1o ( 12 ) Question : If the ... corporate investor will purchase $ 200,000 of the securities being offered for cash . Additionally , the investor ...
... investment decision at the time the limited partnership interest originally is purchased.1o ( 12 ) Question : If the ... corporate investor will purchase $ 200,000 of the securities being offered for cash . Additionally , the investor ...
Page 14
... investment ? Answer : Yes . ( 18 ) Question : An investment general partnership is purchasing securities in a ... corporation with a net worth of $ 2,000,000 purchases securities in a Regulation D offering . Is the corporation an ...
... investment ? Answer : Yes . ( 18 ) Question : An investment general partnership is purchasing securities in a ... corporation with a net worth of $ 2,000,000 purchases securities in a Regulation D offering . Is the corporation an ...
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Common terms and phrases
accepted accounting principles accredited investor additional affiliates aggregate offering price agreement amortization applicable appropriate audited balance sheet basis capital caption cash certificate chapter Column compensation computed consolidated costs director disclosed disclosure dividends document effective date estimated exceed Exchange Act Exchange Commission executive officer exemption expenses fees financial information financial statements foreign forma furnished included income statement income tax incorporated by reference information required interest Investment Company issuer liabilities limited partnership loans material offering circular offering statement oil and gas operations partner percent person post-effective amendment preferred stock presented principal prior pro forma programs proved reserves purchase pursuant to paragraph recent fiscal registrant's registration statement Regulation D Regulation S-K repurchase agreements required by Item revenues Rule schedule Securities Act Securities and Exchange security holders separately shares significant specified subsidiaries term thereof thereto tion transaction underwriters unit investment trust