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 98
Page 9-46
... 4 ( 1 ) . That discussion begins in Section 9.02 infra and represents the major topic of this chapter . [ 4 ] Transactions by Dealers For reasons that are discussed in Section 1.01 [ 1 ] supra , Section 4 ( 1 ) is unavailable for any ...
... 4 ( 1 ) . That discussion begins in Section 9.02 infra and represents the major topic of this chapter . [ 4 ] Transactions by Dealers For reasons that are discussed in Section 1.01 [ 1 ] supra , Section 4 ( 1 ) is unavailable for any ...
Page 9-256
... Section 4 ( 2 ) " to be exempted " pursuant to Section 4 of the Act " has given birth to the phrase " Section 4 ( 1 1/2 ) exemption . " As the Commission has noted : " This is a hybrid exemption not specifically provided for in the 1933 ...
... Section 4 ( 2 ) " to be exempted " pursuant to Section 4 of the Act " has given birth to the phrase " Section 4 ( 1 1/2 ) exemption . " As the Commission has noted : " This is a hybrid exemption not specifically provided for in the 1933 ...
Page 9-259
J. William Hicks. proper scope and prerequisites for a Section 4 ( 1 1/2 ) exemp- tion . [ 2 ] Relationship Between Sections 4 ( 1 ) and 4 ( 2 ) Section 4 ( 2 ) exempts from the provisions of Section 5 “ trans- actions by an issuer not ...
J. William Hicks. proper scope and prerequisites for a Section 4 ( 1 1/2 ) exemp- tion . [ 2 ] Relationship Between Sections 4 ( 1 ) and 4 ( 2 ) Section 4 ( 2 ) exempts from the provisions of Section 5 “ trans- actions by an issuer not ...
Contents
CHAPTER | 9-1 |
iii Special Statutory Categories 918 | 9-18 |
Chapter 2 | 9-22 |
Copyright | |
81 other sections not shown
Other editions - View all
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