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 78
Page 9-142
... interpretation of the doctrine , the 10 percent rule continued to apply where the issuer was going public for the first time . Where the issuer was already in a trading market for its securities , the staff's interpretation depended ...
... interpretation of the doctrine , the 10 percent rule continued to apply where the issuer was going public for the first time . Where the issuer was already in a trading market for its securities , the staff's interpretation depended ...
Page 9-289
J. William Hicks. Court for judicial interpretation . " In construing that exemp- tion , the Supreme Court stated : " The natural way to interpret the private offering exemp- tion is in light of the statutory purpose . Since exempt trans ...
J. William Hicks. Court for judicial interpretation . " In construing that exemp- tion , the Supreme Court stated : " The natural way to interpret the private offering exemp- tion is in light of the statutory purpose . Since exempt trans ...
Page 10-68
... INTERPRETATION : X has not engaged in a Rule 144 transaction because he has not used re- stricted securities to cover or meet his margin obligations for his option position . Illustration 2 : FACTS : The facts are the same as in ...
... INTERPRETATION : X has not engaged in a Rule 144 transaction because he has not used re- stricted securities to cover or meet his margin obligations for his option position . Illustration 2 : FACTS : The facts are the same as in ...
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