Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
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Page 9-219
... affiliate is treated as being equivalent to the original issuer— extends the definitional term to intermediaries in a secondary distri- bution . Where an affiliate makes a public offering for his own account and not as an intermediary ...
... affiliate is treated as being equivalent to the original issuer— extends the definitional term to intermediaries in a secondary distri- bution . Where an affiliate makes a public offering for his own account and not as an intermediary ...
Page 9-244
J. William Hicks. [ D ] Affiliate of Acquired Company and Affiliate of Issuer Although Rule 145 ( d ) is designed for persons who qualify as an un- derwriter under Rule 145 ( c ) , it does not help a former Rule 145 ( c ) affiliate who ...
J. William Hicks. [ D ] Affiliate of Acquired Company and Affiliate of Issuer Although Rule 145 ( d ) is designed for persons who qualify as an un- derwriter under Rule 145 ( c ) , it does not help a former Rule 145 ( c ) affiliate who ...
Page 9-311
... Affiliate For reasons discussed supra in Sections 9.03 [ 1 ] and [ 3 ] , a person who sells securities acquired from an affiliate in a nonpublic offering will be ineligible for an exemption under Section 4 ( 1 ) if he is deemed to have ...
... Affiliate For reasons discussed supra in Sections 9.03 [ 1 ] and [ 3 ] , a person who sells securities acquired from an affiliate in a nonpublic offering will be ineligible for an exemption under Section 4 ( 1 ) if he is deemed to have ...
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