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 72
Page 9-66
... selling group . Members of the selling group ( which may also include syndicate members ) receive the sell- ing concession for such securities as they actually sell and customarily enter into a selected dealer agreement ' setting forth ...
... selling group . Members of the selling group ( which may also include syndicate members ) receive the sell- ing concession for such securities as they actually sell and customarily enter into a selected dealer agreement ' setting forth ...
Page 10-63
... sell some of the securities held in trust in order to satisfy the needs of particular distributees . For instance , they might sell shares of the employer's stock for the purpose of making cash payments to a plan participant or his ...
... sell some of the securities held in trust in order to satisfy the needs of particular distributees . For instance , they might sell shares of the employer's stock for the purpose of making cash payments to a plan participant or his ...
Page 10-321
... sell the collateral to one or more other persons in a private transaction and again , unless otherwise agreed , hold any proceeds in excess of the amount of the debt for the benefit of the debtor . ( 3 ) He can sell the pledged ...
... sell the collateral to one or more other persons in a private transaction and again , unless otherwise agreed , hold any proceeds in excess of the amount of the debt for the benefit of the debtor . ( 3 ) He can sell the pledged ...
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