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 10-256
... tacking should be permitted . In many instances , the SEC staff concurred in this analysis . Under Rule 144 ( d ) ( 1 ) as amended , tacking among suc- cessive holders is allowed even where the securities are ac- quired by purchase ...
... tacking should be permitted . In many instances , the SEC staff concurred in this analysis . Under Rule 144 ( d ) ( 1 ) as amended , tacking among suc- cessive holders is allowed even where the securities are ac- quired by purchase ...
Page 10-297
... tacking under Rule 144 ( d ) ( 3 ) ( ii ) because of the cash requirement . It could have based its rejection on the additional fact that the issuers of the securities involved in the exchange were not the same . 17.1 In Tech Squared ...
... tacking under Rule 144 ( d ) ( 3 ) ( ii ) because of the cash requirement . It could have based its rejection on the additional fact that the issuers of the securities involved in the exchange were not the same . 17.1 In Tech Squared ...
Page 10-483
... tacking among successive nonaffiliate holders is permit- ted , the issue would not even arise . [ b ] Tacking [ i ] No Aggregation Where a nonaffiliate relies on the holding period of another person , he must normally pay the price of ...
... tacking among successive nonaffiliate holders is permit- ted , the issue would not even arise . [ b ] Tacking [ i ] No Aggregation Where a nonaffiliate relies on the holding period of another person , he must normally pay the price of ...
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