Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 77
Page 130
... Commission . ( d ) All notices required by this rule shall be given to the person or per- sons on whose behalf the ... Commission in a form prescribed by or acceptable to it , a written irrevocable consent and power of attorney which ...
... Commission . ( d ) All notices required by this rule shall be given to the person or per- sons on whose behalf the ... Commission in a form prescribed by or acceptable to it , a written irrevocable consent and power of attorney which ...
Page 145
... Commission's continuous reporting requirements to make a public offering of up to $ 5 million on a simplified registration statement . The narrative disclosure called for by Form S - 18 contains fewer disclosure items than required by ...
... Commission's continuous reporting requirements to make a public offering of up to $ 5 million on a simplified registration statement . The narrative disclosure called for by Form S - 18 contains fewer disclosure items than required by ...
Page 146
... Commission will monitor closely the use of Form S - 18 for an appropriate period to determine wheth- er the form has functioned as an effective means for small issuers to raise limited amounts of capital through a registered public ...
... Commission will monitor closely the use of Form S - 18 for an appropriate period to determine wheth- er the form has functioned as an effective means for small issuers to raise limited amounts of capital through a registered public ...
Common terms and phrases
adopted affiliate aggregate amended amount of securities apply block positioner broker call options Commission's comply controlling person convertible securities Corporation court dealer debtor deemed disclosure effective fact filed Form 8-K held holders institutional investor interpretations intrastate investment involved issuer Item market maker ment NASDAQ no-action letters non-affiliate notification offeree representative offering exemption option outstanding paragraph permit placed debt securities position preliminary offering circular prior private offering private placement privately placed debt proposed public offering purchase pursuant Question Ralston Purina registration statement Regulation reliance requirements of Rule resale of privately resale of restricted resale of securities resell resold respect restricted securities Rule 144 transaction sales of securities secondary market Section 13 Section 4(1 securities acquired Securities Act Release securities issued seller September 19 small businesses solicitation specified staff statutory term tion underwriter view to distribution volume limitation