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 9-161
... status through ob- jective standards 18 and returned to " criteria patterned after those now “ ( 1 ) If securities of the same class are admitted to trading on a national securities exchange , the lesser of ( A ) one percent of the ...
... status through ob- jective standards 18 and returned to " criteria patterned after those now “ ( 1 ) If securities of the same class are admitted to trading on a national securities exchange , the lesser of ( A ) one percent of the ...
Page 10-77
... status to require " a factual investigation , " it believes that the issue is best resolved by counsel and the persons involved . However , it has provided informal indications of probable affiliate status for particular persons and ...
... status to require " a factual investigation , " it believes that the issue is best resolved by counsel and the persons involved . However , it has provided informal indications of probable affiliate status for particular persons and ...
Page 10-110
... status of the transferor ( affiliate or nonaffiliate ) , ( 2 ) the status of the securi- ties in the hands of the transferor ( restricted or nonrestricted ) , and ( 3 ) the nature of the transfer ( sale or gift ) . [ i ] As Recipient ...
... status of the transferor ( affiliate or nonaffiliate ) , ( 2 ) the status of the securi- ties in the hands of the transferor ( restricted or nonrestricted ) , and ( 3 ) the nature of the transfer ( sale or gift ) . [ i ] As Recipient ...
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