Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 19
Page 256
... NASDAQ ) or four years ( in the case of securities which , although not exchange - listed or NASDAQ- quoted , are issued by an entity which files periodic reports under Section 13 or 15 ( a ) of the 1934 Act ) . ( 42 ) Question : Can ...
... NASDAQ ) or four years ( in the case of securities which , although not exchange - listed or NASDAQ- quoted , are issued by an entity which files periodic reports under Section 13 or 15 ( a ) of the 1934 Act ) . ( 42 ) Question : Can ...
Page 260
... NASDAQ . On April 1 , 1979 , XYZ distributes to its limited partners on a pro rata basis all of the common stock of Y held by it . INTER- The unlimited resale provision is available , PRETATION : since ( 1 ) neither the limited partners ...
... NASDAQ . On April 1 , 1979 , XYZ distributes to its limited partners on a pro rata basis all of the common stock of Y held by it . INTER- The unlimited resale provision is available , PRETATION : since ( 1 ) neither the limited partners ...
Page 379
... NASDAQ - quoted and securities not so listed or quoted that are is- sued by entities which file periodic reports with the Commission pursuant to Sections 13 or 15 ( d ) of the 1934 Act . There are several rea- sons for this . First ...
... NASDAQ - quoted and securities not so listed or quoted that are is- sued by entities which file periodic reports with the Commission pursuant to Sections 13 or 15 ( d ) of the 1934 Act . There are several rea- sons for this . First ...
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