Sales and Resales of Restricted Securities |
From inside the book
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Page 37
... connection with evalua- tion of the merits and risks of the prospective investment described above . Before you acknow- ledge the undersigned as your Offeree Represen- tative by signing below , the undersigned is required to make ...
... connection with evalua- tion of the merits and risks of the prospective investment described above . Before you acknow- ledge the undersigned as your Offeree Represen- tative by signing below , the undersigned is required to make ...
Page 134
... connection with a proposed offering of ( title of securities ) to the public . 2. The undersigned hereby certifies that it furnished the statements and information set forth in such notification and offering circular with respect to the ...
... connection with a proposed offering of ( title of securities ) to the public . 2. The undersigned hereby certifies that it furnished the statements and information set forth in such notification and offering circular with respect to the ...
Page 353
... connection with such transactions , or ( ii ) make any payment in connection with the offer or sale of the securities to any person other than the broker who executes the order to sell the securities . The requirements of this paragraph ...
... connection with such transactions , or ( ii ) make any payment in connection with the offer or sale of the securities to any person other than the broker who executes the order to sell the securities . The requirements of this paragraph ...
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