Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 64
Page 403
... circumstances . Responding to this contention , the court stated : We agree with the Commission that in the circumstances here presented the intentions to retain the debentures only if Crowell - Collier continued to operate profitably ...
... circumstances . Responding to this contention , the court stated : We agree with the Commission that in the circumstances here presented the intentions to retain the debentures only if Crowell - Collier continued to operate profitably ...
Page 427
... circumstances doctrine in its no - action position for securities acquired before the adoption of Rule 144. It is also the SEC's current position that change of circumstances should not be applied to securities acquired after the ...
... circumstances doctrine in its no - action position for securities acquired before the adoption of Rule 144. It is also the SEC's current position that change of circumstances should not be applied to securities acquired after the ...
Page 554
... circumstances . ( d ) Disclosure Study Report ( 1969 ) : " Under the present Rule 154 , if the broker selling for the account of a controlling person is unaware of circumstances indicating that his principal is engaged in making a ...
... circumstances . ( d ) Disclosure Study Report ( 1969 ) : " Under the present Rule 154 , if the broker selling for the account of a controlling person is unaware of circumstances indicating that his principal is engaged in making a ...
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