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 9-228
... nonaffiliate who is not an issuer or dealer can become an underwriter in a pri- mary distribution , as discussed ... nonaffiliate acquires securities from an affiliate in a transaction not involving a public offering , he will be deemed ...
... nonaffiliate who is not an issuer or dealer can become an underwriter in a pri- mary distribution , as discussed ... nonaffiliate acquires securities from an affiliate in a transaction not involving a public offering , he will be deemed ...
Page 9-312
... nonaffiliate transfers securities acquired from an affili- ate in a nonpublic offering and the securities have not been held for a lengthy period of time , the nonaffiliate will be denied a Section 4 ( 1 ) exemption.2 In order to rely ...
... nonaffiliate transfers securities acquired from an affili- ate in a nonpublic offering and the securities have not been held for a lengthy period of time , the nonaffiliate will be denied a Section 4 ( 1 ) exemption.2 In order to rely ...
Page 10-267
... nonaffiliate third party does not alter this result . " The staff's reference to a “ nonaffiliate third party " lender is not insignificant , as the discussion below explains . [ iii ] Need for Nonaffiliate Third - Party Lender The SEC ...
... nonaffiliate third party does not alter this result . " The staff's reference to a “ nonaffiliate third party " lender is not insignificant , as the discussion below explains . [ iii ] Need for Nonaffiliate Third - Party Lender The SEC ...
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