Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 81
Page 362
... tion of Rule 148 [ 17 CFR 230.148 ] under the Securities Act of 1933 ( " 1933 Act " ) [ 15 U.S.C. 77a et seq . , as amended by Pub . L. No. 94-29 ( June 4 , 1975 ) ] and the adop- tion of certain related amendments to Forms 8 - K [ 17 ...
... tion of Rule 148 [ 17 CFR 230.148 ] under the Securities Act of 1933 ( " 1933 Act " ) [ 15 U.S.C. 77a et seq . , as amended by Pub . L. No. 94-29 ( June 4 , 1975 ) ] and the adop- tion of certain related amendments to Forms 8 - K [ 17 ...
Page 427
... tion of the change of circumstances concept , - this writer believes the concept is of questionable evidentiary value in ascertaining the state of mind of the investor . Moreover , the practical application of change or circumstances is ...
... tion of the change of circumstances concept , - this writer believes the concept is of questionable evidentiary value in ascertaining the state of mind of the investor . Moreover , the practical application of change or circumstances is ...
Page 542
... tion of the purchaser . " The third question which arises under the ' solicitation ' clause is what activity amounts to solicita- tion . Certainly a broker's hanging out his shingle or advertising generally for business does not . Nor ...
... tion of the purchaser . " The third question which arises under the ' solicitation ' clause is what activity amounts to solicita- tion . Certainly a broker's hanging out his shingle or advertising generally for business does not . Nor ...
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