Sales and Resales of Restricted Securities |
From inside the book
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Page 378
... manner of sale require- ments of both rules . In a companion release ( No. 33-5980 dated September 20 , 1978 [ 43 FR 43726 ] ) the Commission solicited public com- ments on the proposed adoption of additional amendments to Rules 144 and ...
... manner of sale require- ments of both rules . In a companion release ( No. 33-5980 dated September 20 , 1978 [ 43 FR 43726 ] ) the Commission solicited public com- ments on the proposed adoption of additional amendments to Rules 144 and ...
Page 463
... manner described in this paper , and the manner of satisfying such underlying factors to the extent that they are so relevant , are discussed in detail below . AVAILABILITY OF CURRENT INFORMATION CONCERNING THE ISSUER Paragraph ( c ) of ...
... manner described in this paper , and the manner of satisfying such underlying factors to the extent that they are so relevant , are discussed in detail below . AVAILABILITY OF CURRENT INFORMATION CONCERNING THE ISSUER Paragraph ( c ) of ...
Page 465
... manner . DISTINCTION BETWEEN TRADING AND DISTRIBUTION The Commission states in the preliminary note to rule 144 that section 4 ( 1 ) " was intended to exempt only routine trading transactions between individual investors with respect to ...
... manner . DISTINCTION BETWEEN TRADING AND DISTRIBUTION The Commission states in the preliminary note to rule 144 that section 4 ( 1 ) " was intended to exempt only routine trading transactions between individual investors with respect to ...
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