Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 60
Page 122
... basis of the value of the securities , claims , property or services to be received in exchange , as established by bona fide sales made within a reasonable time , or in the absence of such sales , upon the basis of the fair value of ...
... basis of the value of the securities , claims , property or services to be received in exchange , as established by bona fide sales made within a reasonable time , or in the absence of such sales , upon the basis of the fair value of ...
Page 140
... basis . Thus , it was stated , an underwriter agree- ing to effect the distribution on a firm commitment basis would insist that the underwriting compensation be increased . This increase would compensate the under- writer for his ...
... basis . Thus , it was stated , an underwriter agree- ing to effect the distribution on a firm commitment basis would insist that the underwriting compensation be increased . This increase would compensate the under- writer for his ...
Page 428
... basis of lack of current public information . The stated rationale for the SEC's position under Rule 144 is that current available information about an issuer is needed to carry out the Securi- ties Act's policy of protecting public ...
... basis of lack of current public information . The stated rationale for the SEC's position under Rule 144 is that current available information about an issuer is needed to carry out the Securi- ties Act's policy of protecting 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