Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 76
Page 283
... purchase and the execution of the purchase is relevant only to exchange traded securities , by reason of the requirement that all principal orders be brought to the floor of an exchange for execution . See , e.g. , NYSE Rule 390 . At ...
... purchase and the execution of the purchase is relevant only to exchange traded securities , by reason of the requirement that all principal orders be brought to the floor of an exchange for execution . See , e.g. , NYSE Rule 390 . At ...
Page 416
... purchase with a view to ultimate sale cannot in any logical sense be thought of as being inconsistent with the notion of purchasing " for investment . " How then can a purchase for investment be distinguished from a purchase for ...
... purchase with a view to ultimate sale cannot in any logical sense be thought of as being inconsistent with the notion of purchasing " for investment . " How then can a purchase for investment be distinguished from a purchase for ...
Page 528
... purchased , the full purchase price or other consideration shall have been paid or given at least [ two or five , depending on the rule ] years prior to the sale . And both state that giving the person from whom the securities were ...
... purchased , the full purchase price or other consideration shall have been paid or given at least [ two or five , depending on the rule ] years prior to the sale . And both state that giving the person from whom the securities were ...
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