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 xiii
... Resales Before Securities Come to Rest ...... 9-304 [ ii ] Resales After Securities Come to Rest ....... 9-306 [ b ] Affiliate Selling Restricted Securities Acquired From Issuer 9-308 [ i ] Resales Before Securities Come to Rest ...
... Resales Before Securities Come to Rest ...... 9-304 [ ii ] Resales After Securities Come to Rest ....... 9-306 [ b ] Affiliate Selling Restricted Securities Acquired From Issuer 9-308 [ i ] Resales Before Securities Come to Rest ...
Page 9-309
... Resales After Securities Come to Rest Once an affiliate's restricted securities have come to rest in his hands , he is able to avoid having his resale transaction linked with the issuer's offering . Under such circumstances , his resales ...
... Resales After Securities Come to Rest Once an affiliate's restricted securities have come to rest in his hands , he is able to avoid having his resale transaction linked with the issuer's offering . Under such circumstances , his resales ...
Page 10-72
... resales if the registration statement states that the resales also may be made pursuant to Rule 144. Although , the staff stated , disclosure in the registration statement of an alternative method of resale is encouraged , “ the absence ...
... resales if the registration statement states that the resales also may be made pursuant to Rule 144. Although , the staff stated , disclosure in the registration statement of an alternative method of resale is encouraged , “ the absence ...
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