Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 64
Page 135
... indicated , on the outside front cover page of the offering circular on a per - share or other unit basis ... indicating the nature of any material relationship be- tween the issuer and such underwriter . 6. ( a ) Furnish a reasonably ...
... indicated , on the outside front cover page of the offering circular on a per - share or other unit basis ... indicating the nature of any material relationship be- tween the issuer and such underwriter . 6. ( a ) Furnish a reasonably ...
Page 362
... indicated herein , and to adopt it in its revised form . In a related action , the Commission also has adopted amend- ments to Items 3 and 6 of Form 8 - K and amendments to the front cover pages of Forms 10 - Q and 10 - K . As indicated ...
... indicated herein , and to adopt it in its revised form . In a related action , the Commission also has adopted amend- ments to Items 3 and 6 of Form 8 - K and amendments to the front cover pages of Forms 10 - Q and 10 - K . As indicated ...
Page 472
... indicate that , in the reasoning of the courts involved , the availability of the section 4 ( 1 ) exemption turned ... indicated , this paper is not concerned with transactions involving offerings and resales of privately placed debt ...
... indicate that , in the reasoning of the courts involved , the availability of the section 4 ( 1 ) exemption turned ... indicated , this paper is not concerned with transactions involving offerings and resales of privately placed debt ...
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