Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 78
Page 95
... acquired under rule 240 shall be deemed to have the same status as if they had been acquired in a private placement under section 4 ( 2 ) . Accordingly , in order to resell such securities , the original purchaser must register them ...
... acquired under rule 240 shall be deemed to have the same status as if they had been acquired in a private placement under section 4 ( 2 ) . Accordingly , in order to resell such securities , the original purchaser must register them ...
Page 222
... acquired from the issuer or an affiliate thereof in a transaction or chain of transactions not involving a public ... acquired in the open market by the settlor , whÉ” was an affiliate of the issuer at the time the securities were ...
... acquired from the issuer or an affiliate thereof in a transaction or chain of transactions not involving a public ... acquired in the open market by the settlor , whÉ” was an affiliate of the issuer at the time the securities were ...
Page 444
... acquired for investment and not with a view to or for sale in connection with any distribution of the securities . It is also assumed for purposes of this paper that the offering of the securities so acquired was properly limited ; that ...
... acquired for investment and not with a view to or for sale in connection with any distribution of the securities . It is also assumed for purposes of this paper that the offering of the securities so acquired was properly limited ; that ...
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