Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 55
Page 136
... means of ac- cess to the mining properties now held or intended to be acquired and the nature of the title under ... means a body of ore so extensively sampled that the risk of failure in continuity of the ore in such body is reduced to ...
... means of ac- cess to the mining properties now held or intended to be acquired and the nature of the title under ... means a body of ore so extensively sampled that the risk of failure in continuity of the ore in such body is reduced to ...
Page 448
... means or instruments of transportation or communication in interstate commerce or of the mails , by means of a prospectus or oral communication , which includes an untrue statement of a material fact or omits to state a material fact ...
... means or instruments of transportation or communication in interstate commerce or of the mails , by means of a prospectus or oral communication , which includes an untrue statement of a material fact or omits to state a material fact ...
Page 451
... means " -that is , " any means or instruments of transportation or communication in interstate commerce or of the mails " " — to resell privately placed debt securities ( which are " non - exempt " securities within the meaning of the ...
... means " -that is , " any means or instruments of transportation or communication in interstate commerce or of the mails " " — to resell privately placed debt securities ( which are " non - exempt " securities within the meaning of 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