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 9-163
... result is posited and the registra- tion requirements are deemed to apply . The transactions that occur when recipients decide to resell the securities they have received as a result of a business combination are independent of the ...
... result is posited and the registra- tion requirements are deemed to apply . The transactions that occur when recipients decide to resell the securities they have received as a result of a business combination are independent of the ...
Page 10-331
... result.8 ( 3 ) Nature of Transfer : Securities can find their way into a trust as a result of the settlor's donative intent or as a result of a sale . The same types of transactions , gift or sale , account for the transfer of se ...
... result.8 ( 3 ) Nature of Transfer : Securities can find their way into a trust as a result of the settlor's donative intent or as a result of a sale . The same types of transactions , gift or sale , account for the transfer of se ...
Page 15
... result of this exclusion from the definition of investment company , a Section 3 ( c ) ( 7 ) fund is able to have an unlimited number Hoar , SEC No - Action Letter , 1997 WL 86002 , [ 1997 Transfer Binder ] Fed . Sec . L. Rep . ( CCH ) ...
... result of this exclusion from the definition of investment company , a Section 3 ( c ) ( 7 ) fund is able to have an unlimited number Hoar , SEC No - Action Letter , 1997 WL 86002 , [ 1997 Transfer Binder ] Fed . Sec . L. Rep . ( CCH ) ...
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