Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
From inside the book
Results 1-3 of 72
Page 10-30
... according to Smith Barney , " the overwhelming majority of issuer's counsel will not authorize the transfer agent to remove the restrictive legends and stop transfer instructions until after the sale of the securities has been executed ...
... according to Smith Barney , " the overwhelming majority of issuer's counsel will not authorize the transfer agent to remove the restrictive legends and stop transfer instructions until after the sale of the securities has been executed ...
Page 15
... According to the staff of the Division of Investment Management , if the private offering results in the foreign investment company having more than 100 beneficial owners in the United States , the company cannot sell its securities to ...
... According to the staff of the Division of Investment Management , if the private offering results in the foreign investment company having more than 100 beneficial owners in the United States , the company cannot sell its securities to ...
Page 31
... according to the SEC staff , the Commission did not intend for the exceptions to the Trading Practices Rules to supersede the exemptions contained in the SIA Letter as they related to distribu- tions through rights.16 Accordingly , [ P ] ...
... according to the SEC staff , the Commission did not intend for the exceptions to the Trading Practices Rules to supersede the exemptions contained in the SIA Letter as they related to distribu- tions through rights.16 Accordingly , [ P ] ...
Contents
CHAPTER | 9-1 |
iii Special Statutory Categories 918 | 9-18 |
Chapter 2 | 9-22 |
Copyright | |
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Common terms and phrases
Act Release Action Letter affiliate aggregate agreement amended amount of securities apply beneficiary broker broker-dealer call options certificates collateral Commission common stock control person convertible securities Corp corporation court curities dealer debentures deemed determining distribution employees entity Exchange Act exemption fiche filing frame B1 Gilligan holding period holding period requirement infra interest interpretation investment investors issuer July letter from SEC ment Microfiche CCH nonaffiliate option outstanding paragraph participation partnership percent pledge prior Proposed Rule public offering purchase purposes of Rule pursuant to Rule Ralston Purina registration statement Release Number requirements of Rule resales resell restricted securities sale of securities SEC No-Action Letter SEC staff Section 4(1 securities acquired securities sold Sept Serv settlor shareholders subparagraph subsidiary Supp supra tacking tion trading transaction Transfer Binder transferor trust volume limitation voting trust Wash