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 10-343
... Sold . Except as hereinafter pro- vided , the amount of securities which may be sold in reliance upon this rule shall be determined as follows : “ ( 1 ) Sales by Affiliates . If the securities are sold for the account [ of ] an ...
... Sold . Except as hereinafter pro- vided , the amount of securities which may be sold in reliance upon this rule shall be determined as follows : “ ( 1 ) Sales by Affiliates . If the securities are sold for the account [ of ] an ...
Page 10-344
... sold in reliance upon the Rule . Unlike the second proposal , which limited sales during any twelve - month period ... sold for the account of the donee thereof shall be aggre- gated with securities sold for the account of the donor for ...
... sold in reliance upon the Rule . Unlike the second proposal , which limited sales during any twelve - month period ... sold for the account of the donee thereof shall be aggre- gated with securities sold for the account of the donor for ...
Page 10-458
... Sold Grosa Proceeds Name and Address of Seller BLENCIOW REMARKS : Title of Securities Sold INSTRUCTIONS : DATE OF NOTICE ( SIGNATURE ) The notice shall be signed by the person for whose account the securities are to be sold . At least ...
... Sold Grosa Proceeds Name and Address of Seller BLENCIOW REMARKS : Title of Securities Sold INSTRUCTIONS : DATE OF NOTICE ( SIGNATURE ) The notice shall be signed by the person for whose account the securities are to be sold . At least ...
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