Sales and Resales of Restricted Securities |
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Page 129
... paragraph ; ( 6 ) any person specified in paragraph ( d ) of ยง 230.252 has been indicted for any crime or offense of the character specified in subparagraph ( 1 ) thereof , or any proceeding has been initiated for the purpose of ...
... paragraph ; ( 6 ) any person specified in paragraph ( d ) of ยง 230.252 has been indicted for any crime or offense of the character specified in subparagraph ( 1 ) thereof , or any proceeding has been initiated for the purpose of ...
Page 357
... Paragraph ( a ) of the rule contains defi- tions of five terms which appear through- out the rule . To a large extent , these defi- nitions are self - explanatory . The Commis- sion , however , wishes to call particular attention to the ...
... Paragraph ( a ) of the rule contains defi- tions of five terms which appear through- out the rule . To a large extent , these defi- nitions are self - explanatory . The Commis- sion , however , wishes to call particular attention to the ...
Page 367
... paragraph ( c ) has been revised in certain respects to clarify its applicability . Thus , the paragraph now states that the rule will not be available for the resale of an af- filiate's securities held in the debtor's port- folio , but ...
... paragraph ( c ) has been revised in certain respects to clarify its applicability . Thus , the paragraph now states that the rule will not be available for the resale of an af- filiate's securities held in the debtor's port- folio , but ...
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