Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 65
Page 141
... proposed amendment . most of which addressed both of the above proposed re- strictions . Based upon the Commission's review of these letters , its experience in administering Regulation A and statements by witnesses from the investment ...
... proposed amendment . most of which addressed both of the above proposed re- strictions . Based upon the Commission's review of these letters , its experience in administering Regulation A and statements by witnesses from the investment ...
Page 148
... proposed amendments to Form 10 - K and to publish the amendment to Guide 23 sub- stantially as proposed . In addition , the Commission , responding to comments re- ceived at the hearings , has determined to provide for the filing and ...
... proposed amendments to Form 10 - K and to publish the amendment to Guide 23 sub- stantially as proposed . In addition , the Commission , responding to comments re- ceived at the hearings , has determined to provide for the filing and ...
Page 378
... proposed amendments and some other changes as well . RULE 144 1. Removal of Volume Restrictions The amendments proposed in Release No. 33-5980 would have permitted non - affiliates to sell unlimited amounts of restricted se- curities ...
... proposed amendments and some other changes as well . RULE 144 1. Removal of Volume Restrictions The amendments proposed in Release No. 33-5980 would have permitted non - affiliates to sell unlimited amounts of restricted se- curities ...
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