Sales and Resales of Restricted Securities |
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Page 147
New SEC Rulings Simplified Requirements for Small Issuers New SEC Rulings Simplified Requirements for Small Issuers. ment underwritten offerings thereunder . In Securities Act Release No. 5975 ( September 8 , 1978 ) [ 43 FR 41193 ] , the ...
New SEC Rulings Simplified Requirements for Small Issuers New SEC Rulings Simplified Requirements for Small Issuers. ment underwritten offerings thereunder . In Securities Act Release No. 5975 ( September 8 , 1978 ) [ 43 FR 41193 ] , the ...
Page 229
... requirements of the rule are satisfied . Illustration 2 : FACTS : Y , a company not previously subject to the periodic reporting requirements of Section 13 or 15 ( d ) of the 1934 Act , filed a Form 10 registration statement [ 17 CFR ...
... requirements of the rule are satisfied . Illustration 2 : FACTS : Y , a company not previously subject to the periodic reporting requirements of Section 13 or 15 ( d ) of the 1934 Act , filed a Form 10 registration statement [ 17 CFR ...
Page 567
... requirements of Rule 144 ( i.e. , the Form 144 filing , the brokers ' transaction , and current public information requirements ) still apply to sales of such securities . 2. Affiliates cannot take advantage of the new amendment . 3 ...
... requirements of Rule 144 ( i.e. , the Form 144 filing , the brokers ' transaction , and current public information requirements ) still apply to sales of such securities . 2. Affiliates cannot take advantage of the new amendment . 3 ...
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