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 71
Page 9-118
... meaning of Section 2 ( 11 ) . " 14 Having concluded that the syndicate members were statutory un- derwriters , the Commission volunteered a qualification on the scope of its holding . The SEC noted : " It would doubtless be true ...
... meaning of Section 2 ( 11 ) . " 14 Having concluded that the syndicate members were statutory un- derwriters , the Commission volunteered a qualification on the scope of its holding . The SEC noted : " It would doubtless be true ...
Page 9-135
... meaning under Section 2 ( a ) ( 11 ) and should be used with care and precision . While it is certainly fair to describe those persons who fall within the third and fourth categories of Section 2 ( a ) ( 11 ) and those persons who are ...
... meaning under Section 2 ( a ) ( 11 ) and should be used with care and precision . While it is certainly fair to describe those persons who fall within the third and fourth categories of Section 2 ( a ) ( 11 ) and those persons who are ...
Page 10-280
... meaning governs . The technical meaning has devel- oped from a series of staff interpretative letters and encom- passes both sale and nonsale transactions . A " sale , " as defined in Section 2 ( a ) ( 3 ) , is not deemed to occur when ...
... meaning governs . The technical meaning has devel- oped from a series of staff interpretative letters and encom- passes both sale and nonsale transactions . A " sale , " as defined in Section 2 ( a ) ( 3 ) , is not deemed to occur when ...
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