Sales and Resales of Restricted Securities |
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Page 445
Resale of Privately Placed Debt Securities · 1931 under which it acquired the securities . This method of resale may involve a transaction directly between institutions or may involve a dealer acting as agent for the institutional ...
Resale of Privately Placed Debt Securities · 1931 under which it acquired the securities . This method of resale may involve a transaction directly between institutions or may involve a dealer acting as agent for the institutional ...
Page 463
· Resale of Privately Placed Debt Securities 1949 listed on a national securities exchange or quoted in NASDAQ or ( ii ) at least 4 years before the resale and are the securities of an issuer filing periodic reports under section 13 or ...
· Resale of Privately Placed Debt Securities 1949 listed on a national securities exchange or quoted in NASDAQ or ( ii ) at least 4 years before the resale and are the securities of an issuer filing periodic reports under section 13 or ...
Page 472
... resale , or in the purchase and resale , of privately placed debt securities in the secondary market for such securities , in the manner described in this paper , without registration of such securities under the Act and outside rule ...
... resale , or in the purchase and resale , of privately placed debt securities in the secondary market for such securities , in the manner described in this paper , without registration of such securities under the Act and outside rule ...
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