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 10-62
J. William Hicks. [ j ] Sales by Trustee of Employee Benefit Plan Employers can choose from a variety of employee benefit plans.1 Regardless of a plan's specific characteristics , the assets of a typical plan are held by trustees in a ...
J. William Hicks. [ j ] Sales by Trustee of Employee Benefit Plan Employers can choose from a variety of employee benefit plans.1 Regardless of a plan's specific characteristics , the assets of a typical plan are held by trustees in a ...
Page 10-146
... benefit plans is ana- lyzed in two steps : ( 1 ) The various employee benefit plans that give rise to questions involving Rule 144 ( a ) ( 3 ) are organized and explained . ( 2 ) The three part test that allows holders of un- registered ...
... benefit plans is ana- lyzed in two steps : ( 1 ) The various employee benefit plans that give rise to questions involving Rule 144 ( a ) ( 3 ) are organized and explained . ( 2 ) The three part test that allows holders of un- registered ...
Page 10-256
... benefit plans that require a recipient to continue his employment for a prescribed period of time . Initially , the SEC staff took the position that such a restriction constituted additional consid- eration for the issuance of the ...
... benefit plans that require a recipient to continue his employment for a prescribed period of time . Initially , the SEC staff took the position that such a restriction constituted additional consid- eration for the issuance of the ...
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