Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 78
Page 308
... registration statement that contains current information and can presently be used ? Answer : Rule 144 is immediately available in situations ( a ) and ( b ) because the registration statements in those instances cannot currently be ...
... registration statement that contains current information and can presently be used ? Answer : Rule 144 is immediately available in situations ( a ) and ( b ) because the registration statements in those instances cannot currently be ...
Page 577
THE S - 16 REGISTRATION STATEMENT ( The Answer You May Have Been Looking For ) The Form S - 16 Registration Statement Securities included in an effective registration statement can be sold without the need to comply with Rule 144 and ...
THE S - 16 REGISTRATION STATEMENT ( The Answer You May Have Been Looking For ) The Form S - 16 Registration Statement Securities included in an effective registration statement can be sold without the need to comply with Rule 144 and ...
Page 587
... registration statement , the issuer is responsible for the truth and accuracy of the contents of the registration statement . In addition to the issuer's liability , both the selling shareholder and the broker may be deemed to be ...
... registration statement , the issuer is responsible for the truth and accuracy of the contents of the registration statement . In addition to the issuer's liability , both the selling shareholder and the broker may be deemed to be ...
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