Sales and Resales of Restricted Securities |
From inside the book
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Page 390
... distribution of securities by a control person could involve the same potential for abuse of investors as would a distribution by the issuer itself . It was also felt that a controlling person would be in a posi- tion to cause the ...
... distribution of securities by a control person could involve the same potential for abuse of investors as would a distribution by the issuer itself . It was also felt that a controlling person would be in a posi- tion to cause the ...
Page 479
... distribution " .7 The term " distribution " , although central to the " underwriter " analysis , is not defined in the 1933 Act , and it is at this point that Section 4 ( 2 ) concepts typically are introduced8 and the " underwriter ...
... distribution " .7 The term " distribution " , although central to the " underwriter " analysis , is not defined in the 1933 Act , and it is at this point that Section 4 ( 2 ) concepts typically are introduced8 and the " underwriter ...
Page 486
... distribution " was involved . In determining the existence of a " distribution " the court noted that the term was equivalent to " public offering " 24 and turned to the 25 Ralston - Purina decision for instruction on that point ...
... distribution " was involved . In determining the existence of a " distribution " the court noted that the term was equivalent to " public offering " 24 and turned to the 25 Ralston - Purina decision for instruction on that point ...
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