Sales and Resales of Restricted Securities |
From inside the book
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Page 124
... amended in Release No. 33- 6075 ( 82,101 ) , June 1 , 1979 , 44 F. R. 33362. ] ( b ) The notification shall be signed by the issuer and each person , other than the issuer , for whose account any of the securities are to be offered . If ...
... amended in Release No. 33- 6075 ( 82,101 ) , June 1 , 1979 , 44 F. R. 33362. ] ( b ) The notification shall be signed by the issuer and each person , other than the issuer , for whose account any of the securities are to be offered . If ...
Page 147
... amended Rule 144 [ 17 CFR 230.144 ] , the rule which sets forth guidelines for the resale of certain securities , and proposed amendments to that rule . Securities Act Release No. 5979 ( Sep- tember 19 , 1978 ) [ 43 FR 43709 ] amends ...
... amended Rule 144 [ 17 CFR 230.144 ] , the rule which sets forth guidelines for the resale of certain securities , and proposed amendments to that rule . Securities Act Release No. 5979 ( Sep- tember 19 , 1978 ) [ 43 FR 43709 ] amends ...
Page 567
... amendments to Rule 144 , now permit sales of significantly greater amounts of securities under Rule 144. [ Effective September 25 , 1978 , Rule 144 was amended to permit sales in a three - month period of the greater of : ( a ) 1 % of ...
... amendments to Rule 144 , now permit sales of significantly greater amounts of securities under Rule 144. [ Effective September 25 , 1978 , Rule 144 was amended to permit sales in a three - month period of the greater of : ( a ) 1 % of ...
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