Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 82
Page 272
... transaction to avoid the restrictions applicable to a brokers ' transaction ? Answer : No. The restrictions placed on a broker- dealer by Rule 144 are distinguished on the basis of the function of the broker - dealer during a Rule 144 ...
... transaction to avoid the restrictions applicable to a brokers ' transaction ? Answer : No. The restrictions placed on a broker- dealer by Rule 144 are distinguished on the basis of the function of the broker - dealer during a Rule 144 ...
Page 363
... transaction or chain of transactions not involving any public offer- ing or from the issuer in a transaction in reliance on Rule 240 under the Act or which that are either registered or are exempt from registration . These persons ...
... transaction or chain of transactions not involving any public offer- ing or from the issuer in a transaction in reliance on Rule 240 under the Act or which that are either registered or are exempt from registration . These persons ...
Page 372
... transaction requirement in such situations . 2. Exemption for non - affiliated estates and beneficiaries . The brokers ' transaction requirements of Rules 144 and 148 presently apply to all securities sold under those rules , regard ...
... transaction requirement in such situations . 2. Exemption for non - affiliated estates and beneficiaries . The brokers ' transaction requirements of Rules 144 and 148 presently apply to all securities sold under those rules , regard ...
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