Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 31
Page 125
... offering circular is furnished to the person to whom the securities are expected to be sold at least 48 hours prior to the mailing of the confirmation of sale to such person , or is sent to such person under such circumstances that it ...
... offering circular is furnished to the person to whom the securities are expected to be sold at least 48 hours prior to the mailing of the confirmation of sale to such person , or is sent to such person under such circumstances that it ...
Page 141
... OFFERING CIRCULAR As proposed , the outside front cover page of a preliminary offering circular was to bear a legend , in ink of a color other than red and different from that used else- where in the offering circular , which would be ...
... OFFERING CIRCULAR As proposed , the outside front cover page of a preliminary offering circular was to bear a legend , in ink of a color other than red and different from that used else- where in the offering circular , which would be ...
Page 142
New SEC Rulings Small Offering Exemption New SEC Rulings Small Offering Exemption. the benefits of the use of a preliminary of- fering circular to a significant number of issuers , its use should be available to offer- ings underwritten ...
New SEC Rulings Small Offering Exemption New SEC Rulings Small Offering Exemption. the benefits of the use of a preliminary of- fering circular to a significant number of issuers , its use should be available to offer- ings underwritten ...
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