Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
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Page 10-310
... Pledged Securities . Securities which are bona fide pledged by an affiliate of the issuer when sold by the pledgee , or by a pur- chaser , after a default in the obligation secured by the pledge , shall be deemed to have been acquired ...
... Pledged Securities . Securities which are bona fide pledged by an affiliate of the issuer when sold by the pledgee , or by a pur- chaser , after a default in the obligation secured by the pledge , shall be deemed to have been acquired ...
Page 10-311
J. William Hicks. rounding the pledge transaction , ' including its terms and the subjective intent of both the lender and the borrower , are rele- vant data for assessing the bona fides of a pledge.7.1 [ B ] Pledged Securities Rule 144 ...
J. William Hicks. rounding the pledge transaction , ' including its terms and the subjective intent of both the lender and the borrower , are rele- vant data for assessing the bona fides of a pledge.7.1 [ B ] Pledged Securities Rule 144 ...
Page 10-389
... Pledge , Gift , and Trust Securities [ A ] Pledge Securities Rule 144 ( e ) ( 3 ) ( ii ) , which is the provision contemplated by the Note to Rule 144 ( d ) ( 3 ) ( iv ) , 2 states : The amount of securities sold for the account of a ...
... Pledge , Gift , and Trust Securities [ A ] Pledge Securities Rule 144 ( e ) ( 3 ) ( ii ) , which is the provision contemplated by the Note to Rule 144 ( d ) ( 3 ) ( iv ) , 2 states : The amount of securities sold for the account of a ...
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