Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
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Results 1-3 of 72
Page 9-232
... brokers ' transactions ; " ( 2 ) makes no payment in connection with the execution of such bro- kers ' transactions to any person other than the broker ; and “ ( 3 ) limits such brokers ' transactions to a sale or series of sales which ...
... brokers ' transactions ; " ( 2 ) makes no payment in connection with the execution of such bro- kers ' transactions to any person other than the broker ; and “ ( 3 ) limits such brokers ' transactions to a sale or series of sales which ...
Page 10-33
... broker - dealer's involvement , however , must be limited to performing certain functions as agent for the account of another person . Consequently , a broker - dealer cannot engage in " broker's transactions " for his own account ...
... broker - dealer's involvement , however , must be limited to performing certain functions as agent for the account of another person . Consequently , a broker - dealer cannot engage in " broker's transactions " for his own account ...
Page 10-447
... broker of other brokers or dealers who have indicated an interest in the securities within the pre- ceding 60 days , ( ii ) inquiries by the broker of his customers who have indicated an unsolicited bona fide interest in the se ...
... broker of other brokers or dealers who have indicated an interest in the securities within the pre- ceding 60 days , ( ii ) inquiries by the broker of his customers who have indicated an unsolicited bona fide interest in the se ...
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