Sales and Resales of Restricted Securities |
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Page 166
... interpretations . lost as It is interesting to note that under 147 ( b ) ( 2 ) the safe harbor protection will be automatically a result of offers or sales of securities of the same class during the six month periods , even if these ...
... interpretations . lost as It is interesting to note that under 147 ( b ) ( 2 ) the safe harbor protection will be automatically a result of offers or sales of securities of the same class during the six month periods , even if these ...
Page 442
... Interpretations .. Resales on behalf of an institutional investor 1953 1953 Resales on behalf of Federal Home Loan Mortgage Corporation 1954 Recent statements and actions by Commission 1955 Judicial Interpretations . 1957 The Value Line ...
... Interpretations .. Resales on behalf of an institutional investor 1953 1953 Resales on behalf of Federal Home Loan Mortgage Corporation 1954 Recent statements and actions by Commission 1955 Judicial Interpretations . 1957 The Value Line ...
Page 460
... interpretations of the Commission or the judicial interpretations of the courts . Counsel will find no such controlling authority . However , as shown in the following discussion , there are certain administrative and judicial ...
... interpretations of the Commission or the judicial interpretations of the courts . Counsel will find no such controlling authority . However , as shown in the following discussion , there are certain administrative and judicial ...
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