Sales and Resales of Restricted Securities |
From inside the book
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Page 127
... specified in paragraph ( a ) of § 230.253 and issues of assessable stock , the offering circular specified in § 230.256 need not be filed or used in connection with an offering of securities under this regulation if the aggregate ...
... specified in paragraph ( a ) of § 230.253 and issues of assessable stock , the offering circular specified in § 230.256 need not be filed or used in connection with an offering of securities under this regulation if the aggregate ...
Page 129
... specified in paragraph ( c ) of § 230.252 has been indicted for any crime or offense of the character specified in subparagraph ( 3 ) there- of , or any proceeding has been initiated for the purpose of enjoining any such person from ...
... specified in paragraph ( c ) of § 230.252 has been indicted for any crime or offense of the character specified in subparagraph ( 3 ) there- of , or any proceeding has been initiated for the purpose of enjoining any such person from ...
Page 292
... specified number of shares ( usually 100 ) of the underlying stock at a specified price within a specified period of time . For purposes of this section , the term " call option " is limited to options traded on a national securities ...
... specified number of shares ( usually 100 ) of the underlying stock at a specified price within a specified period of time . For purposes of this section , the term " call option " is limited to options traded on a national securities ...
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