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 86
Page 9-256
... exemption . " As the Commission has noted : " This is a hybrid exemption not specifically provided for in the 1933 Act but clearly within its intended purpose . ” 15 Technical- ly , the so - called " Section 4 ( 1 1/2 ) exemption " is ...
... exemption . " As the Commission has noted : " This is a hybrid exemption not specifically provided for in the 1933 Act but clearly within its intended purpose . ” 15 Technical- ly , the so - called " Section 4 ( 1 1/2 ) exemption " is ...
Page 9-288
... exemption . " The second holding by the Supreme Court in Ralston Purina that the Sec- ond Circuit found significant ... exemption . The peti- tioners in Gilligan , Will & Co. made it clear that they were relying on the first clause of ...
... exemption . " The second holding by the Supreme Court in Ralston Purina that the Sec- ond Circuit found significant ... exemption . The peti- tioners in Gilligan , Will & Co. made it clear that they were relying on the first clause of ...
Page 9-300
... exemption which is only available to issuers . 35 The Court did not hold that the prerequi- sites for a private placement exemption ( offeree sophistication and access ) were also the standards for determining the avail- ability of ...
... exemption which is only available to issuers . 35 The Court did not hold that the prerequi- sites for a private placement exemption ( offeree sophistication and access ) were also the standards for determining the avail- ability of ...
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