Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 43
Page 271
... solicit buy orders for Rule 144 securities , the staff notes that the solicitation either by a broker or by a market maker of affiliates to sell their securities is not proscribed by the Rule . See also Item ( 56 ) herein . ( 51 ) ...
... solicit buy orders for Rule 144 securities , the staff notes that the solicitation either by a broker or by a market maker of affiliates to sell their securities is not proscribed by the Rule . See also Item ( 56 ) herein . ( 51 ) ...
Page 542
the solicitation itself were effected without use of the mails or interstate facilities , it would not destroy the exemption for the resulting sale . The Commission , however , early took the position that any solicitation , whether or ...
the solicitation itself were effected without use of the mails or interstate facilities , it would not destroy the exemption for the resulting sale . The Commission , however , early took the position that any solicitation , whether or ...
Page 548
... solicitation ' in Section 4 ( 4 ) shall not be deemed to include an inquiry regarding the dealer's bid or solicitation . " Under paragraph ( c ) of this rule , a broker is free to solicit control persons to determine whether they wish ...
... solicitation ' in Section 4 ( 4 ) shall not be deemed to include an inquiry regarding the dealer's bid or solicitation . " Under paragraph ( c ) of this rule , a broker is free to solicit control persons to determine whether they wish ...
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