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 10-172
... action that the spin - off be subject to shareholder approval or consent - and most transactions 17 For examples of ... SEC No - Action Letter , 1995 WL 729924 ( Dec. 8 , 1995 ) ; Piedmont Management Co. , SEC No - Action Letter , 1995 ...
... action that the spin - off be subject to shareholder approval or consent - and most transactions 17 For examples of ... SEC No - Action Letter , 1995 WL 729924 ( Dec. 8 , 1995 ) ; Piedmont Management Co. , SEC No - Action Letter , 1995 ...
Page 10-173
J. William Hicks. reported in no - action letters do not contemplate such ... SEC staff will accept a representation by the distributing company that the ... Letter , 1995 WL 703628 ( Nov. 29 , 1995 ) ; Diasonics , Inc. , SEC No - Action ...
J. William Hicks. reported in no - action letters do not contemplate such ... SEC staff will accept a representation by the distributing company that the ... Letter , 1995 WL 703628 ( Nov. 29 , 1995 ) ; Diasonics , Inc. , SEC No - Action ...
Page 10-197
... SEC staff , without discussion , approved counsel's request.11 Where these conditions are satisfied , the staff has ... No - Action Letter , 1998 WL 372424 ( July 1 , 1998 ) ; Southern California Water Co .; American States Water Co. , SEC ...
... SEC staff , without discussion , approved counsel's request.11 Where these conditions are satisfied , the staff has ... No - Action Letter , 1998 WL 372424 ( July 1 , 1998 ) ; Southern California Water Co .; American States Water Co. , SEC ...
Contents
CHAPTER | 9-1 |
iii Special Statutory Categories 918 | 9-18 |
Chapter 2 | 9-22 |
Copyright | |
81 other sections not shown
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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