Sales and Resales of Restricted Securities |
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Page 113
... ment form . Similarly , there is no requirement to utilize bar graphs and pie charts to illustrate use of proceeds and dilution . In fact , there is no express requirement to even include " Dilution " or " Risk Factor " sections ...
... ment form . Similarly , there is no requirement to utilize bar graphs and pie charts to illustrate use of proceeds and dilution . In fact , there is no express requirement to even include " Dilution " or " Risk Factor " sections ...
Page 147
... ment underwritten offerings thereunder . In Securities Act Release No. 5975 ( September 8 , 1978 ) [ 43 FR 41193 ] , the Commission adopted an amendment to Rule 146 [ 17 CFR 230.146 ] , the private - placement ex- emptive rule , which ...
... ment underwritten offerings thereunder . In Securities Act Release No. 5975 ( September 8 , 1978 ) [ 43 FR 41193 ] , the Commission adopted an amendment to Rule 146 [ 17 CFR 230.146 ] , the private - placement ex- emptive rule , which ...
Page 373
... ment proposed amendments to Rule 144 [ 17 CFR 230.144 ] and Rule 148 [ 17 CFR 230.- 148 ] under the Securities Act of 1933 ( " 1933 Act " ) [ 15 U. S. C. 77a et seq . ] . The amend- ments are being proposed for the purpose of relaxing ...
... ment proposed amendments to Rule 144 [ 17 CFR 230.144 ] and Rule 148 [ 17 CFR 230.- 148 ] under the Securities Act of 1933 ( " 1933 Act " ) [ 15 U. S. C. 77a et seq . ] . The amend- ments are being proposed for the purpose of relaxing ...
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