Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 72
Page 133
... exchange ; ( d ) is subject to a United States Post Office fraud order . Instruction . If the answer to any of the ... exchange , name the exchange . Jote . No securities shall be offered or old in any other State , Province or other ...
... exchange ; ( d ) is subject to a United States Post Office fraud order . Instruction . If the answer to any of the ... exchange , name the exchange . Jote . No securities shall be offered or old in any other State , Province or other ...
Page 282
... exchange which has restrictions on the off - board trading of its members , a block posi- tioner which is a member of that exchange must execute the block on an exchange . Although there is a formal requirement that the trade be ...
... exchange which has restrictions on the off - board trading of its members , a block posi- tioner which is a member of that exchange must execute the block on an exchange . Although there is a formal requirement that the trade be ...
Page 352
... Exchange Act of 1934 during the four - week period specified in ( ii ) above . For the purpose of determining the limitation on the amount of securities sold , all securities of the same class sold under this rule by persons or entities ...
... Exchange Act of 1934 during the four - week period specified in ( ii ) above . For the purpose of determining the limitation on the amount of securities sold , all securities of the same class sold under this rule by persons or entities ...
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