Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
From inside the book
Results 1-3 of 73
Page 9-105
... question arises , however , whether such persons are selling for an issuer in connection with a distribution and , therefore , whether they are statutory underwriters . The Commission faced this problem in an administrative decision in ...
... question arises , however , whether such persons are selling for an issuer in connection with a distribution and , therefore , whether they are statutory underwriters . The Commission faced this problem in an administrative decision in ...
Page 10-54
... Question : May Rule 144 or Rule 145 ( d ) be relied upon for short sales against the box ? Answer : Yes , assuming all applicable conditions of the rule being relied upon are satisfied at the time the short sale is made . For purposes ...
... Question : May Rule 144 or Rule 145 ( d ) be relied upon for short sales against the box ? Answer : Yes , assuming all applicable conditions of the rule being relied upon are satisfied at the time the short sale is made . For purposes ...
Page 10-87
... question of fact under Rule 144 ( a ) ( 2 ) ( i ) is the independence of the two parties . The maintenance of separate homes might be a temporary arrangement , with one spouse remaining dependent upon the other . If so , the parties ...
... question of fact under Rule 144 ( a ) ( 2 ) ( i ) is the independence of the two parties . The maintenance of separate homes might be a temporary arrangement , with one spouse remaining dependent upon the other . If so , the parties ...
Contents
CHAPTER | 9-1 |
iii Special Statutory Categories 918 | 9-18 |
Chapter 2 | 9-22 |
Copyright | |
81 other sections not shown
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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