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 10-256
... agreement is borne by the intended recipient from the date the securities were to be delivered , it is that date , and not the date the securities are actually delivered , which marks the com- mencement of the holding period for ...
... agreement is borne by the intended recipient from the date the securities were to be delivered , it is that date , and not the date the securities are actually delivered , which marks the com- mencement of the holding period for ...
Page 10-256
... agreement and that the holding period of shares in that fund for purposes of Rule 144 ( d ) ( 1 ) commenced on that date . A review of the agreement establishing Escrow B suggests that the agreed value of the leasehold interest to be ...
... agreement and that the holding period of shares in that fund for purposes of Rule 144 ( d ) ( 1 ) commenced on that date . A review of the agreement establishing Escrow B suggests that the agreed value of the leasehold interest to be ...
Page 10-410
J. William Hicks. agreement is found to exist.12 The agreement must relate to the sale of securities . The fact that two or more persons acted in concert in purchasing their securities does not necessarily mean that they intend joint ...
J. William Hicks. agreement is found to exist.12 The agreement must relate to the sale of securities . The fact that two or more persons acted in concert in purchasing their securities does not necessarily mean that they intend joint ...
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