Sales and Resales of Restricted Securities |
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Page 445
Resale of Privately Placed Debt Securities · 1931 under which it acquired the securities . This method of resale may involve a transaction directly between institutions or may involve a dealer acting as agent for the institutional ...
Resale of Privately Placed Debt Securities · 1931 under which it acquired the securities . This method of resale may involve a transaction directly between institutions or may involve a dealer acting as agent for the institutional ...
Page 447
Resale of Privately Placed Debt Securities · 1933 transactions involving large aggregate amounts of such securities.15 This secondary market is relatively immune to such disruption , and relatively stable , for several reasons . First ...
Resale of Privately Placed Debt Securities · 1933 transactions involving large aggregate amounts of such securities.15 This secondary market is relatively immune to such disruption , and relatively stable , for several reasons . First ...
Page 451
... securities laws.19 SUMMARY 19 The secondary market for privately placed debt securities provides to institutional investors , and to dealers in such securities , a market place for the offering and resale of substantial amounts of such ...
... securities laws.19 SUMMARY 19 The secondary market for privately placed debt securities provides to institutional investors , and to dealers in such securities , a market place for the offering and resale of substantial amounts of such ...
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