Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 78
Page 126
... pursuant to this regulation and taking place prior to the expiration of ninety days after the first date upon which the secu- rities were bona fide offered to the public , shall not be exempt pursuant to this regulation unless : ( 1 ) ...
... pursuant to this regulation and taking place prior to the expiration of ninety days after the first date upon which the secu- rities were bona fide offered to the public , shall not be exempt pursuant to this regulation unless : ( 1 ) ...
Page 143
... pursuant to Regulation A by allowing the 5 Pursuant to Rule 261 ( a ) ( 3 ) the Commission has the authority to enter an order temporarily suspending the Regulation A exemption . if it has reason to believe that the offering is being ...
... pursuant to Regulation A by allowing the 5 Pursuant to Rule 261 ( a ) ( 3 ) the Commission has the authority to enter an order temporarily suspending the Regulation A exemption . if it has reason to believe that the offering is being ...
Page 319
... pursuant to such Plans . A copy of those provisions are set forth as Appendices A and B hereto . Background Shares issued pursuant to a Plan ( " Bank- rupt Securities " ) have an unclear status under the Securities Act in that they are ...
... pursuant to such Plans . A copy of those provisions are set forth as Appendices A and B hereto . Background Shares issued pursuant to a Plan ( " Bank- rupt Securities " ) have an unclear status under the Securities Act in that they are ...
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