Sales and Resales of Restricted Securities |
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Page 261
Illustration 2 : FACTS : The facts are the same as in Illustration 1 , except that one of the general partners of XYZ is ... fact that the part- nership , through one of its general partners , was an affi- liate of Y at the time of the ...
Illustration 2 : FACTS : The facts are the same as in Illustration 1 , except that one of the general partners of XYZ is ... fact that the part- nership , through one of its general partners , was an affi- liate of Y at the time of the ...
Page 448
... fact or omits to state a material fact necessary in order to make the statements , in the light of the circumstances under which they were made , not misleading ( the purchaser not knowing of such untruth or omission ) . and who shall ...
... fact or omits to state a material fact necessary in order to make the statements , in the light of the circumstances under which they were made , not misleading ( the purchaser not knowing of such untruth or omission ) . and who shall ...
Page 569
... fact that the new amendments to Rule 144. . . would permit certain restricted securities to be sold after a holding period of three or four years . " Perhaps most telling of the change in the Staff's and the Commission's attitude is the ...
... fact that the new amendments to Rule 144. . . would permit certain restricted securities to be sold after a holding period of three or four years . " Perhaps most telling of the change in the Staff's and the Commission's attitude is the ...
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