Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 73
Page 241
... holding period commence for some of the securities at the time equivalent payments for them are made under the contract ? Answer : The holding period in such circumstances may commence on a staggered basis , as illustrated below ...
... holding period commence for some of the securities at the time equivalent payments for them are made under the contract ? Answer : The holding period in such circumstances may commence on a staggered basis , as illustrated below ...
Page 374
... period with the amount permitted to be sold during a later three month period . Thus , for example , a person who ... holding period that he is not an underwriter within the meaning of Section 2 ( 11 ) of the 1933 Act . According to this ...
... period with the amount permitted to be sold during a later three month period . Thus , for example , a person who ... holding period that he is not an underwriter within the meaning of Section 2 ( 11 ) of the 1933 Act . According to this ...
Page 418
... holding period suggested by the no - action positions was consistent with the law . Although the current no - action position requires a three - year holding period , one does not have to cite ancient history , i.e. , the 1938 opinion ...
... holding period suggested by the no - action positions was consistent with the law . Although the current no - action position requires a three - year holding period , one does not have to cite ancient history , i.e. , the 1938 opinion ...
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