Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 52
Page 54
... considered in determining whether the securi- ties were taken for investment ; and 9. That in any related series of offerings , all the offerings so related must be considered together in determining whether a public offering is ...
... considered in determining whether the securi- ties were taken for investment ; and 9. That in any related series of offerings , all the offerings so related must be considered together in determining whether a public offering is ...
Page 223
... considered to be restricted securities for purposes of Rule 144 because they are acquired in public transactions ... considered restricted if they were sold by the settlor to the trust . If , however , the securities were donated by the ...
... considered to be restricted securities for purposes of Rule 144 because they are acquired in public transactions ... considered restricted if they were sold by the settlor to the trust . If , however , the securities were donated by the ...
Page 441
... considered in this connection the exemption available for dealers participating in such resales as agents or principals . The Committee on Federal Regulation of Securities , through a Section " 4 ( 1 ) " Study Group of its Subcommittee ...
... considered in this connection the exemption available for dealers participating in such resales as agents or principals . The Committee on Federal Regulation of Securities , through a Section " 4 ( 1 ) " Study Group of its Subcommittee ...
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