Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 63
Page 119
... principal office or principal place of business in Canada . All securities subject to this paragraph shall be offered in the Province in which they are qualified or made eligible for offering , concurrently with the offering in the ...
... principal office or principal place of business in Canada . All securities subject to this paragraph shall be offered in the Province in which they are qualified or made eligible for offering , concurrently with the offering in the ...
Page 124
... principal business operations are conducted or proposed to be conducted , unless the offering is to be made through a principal underwriter located in the United States , in which case the notification shall be filed with the Regional ...
... principal business operations are conducted or proposed to be conducted , unless the offering is to be made through a principal underwriter located in the United States , in which case the notification shall be filed with the Regional ...
Page 151
... principal busi- ness operations are conducted or proposed to be conducted in the United States . An issuer having or proposing to have its principal business operations in Canada shall have the option of filing Form S - 18 in Washington ...
... principal busi- ness operations are conducted or proposed to be conducted in the United States . An issuer having or proposing to have its principal business operations in Canada shall have the option of filing Form S - 18 in Washington ...
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