Exempted Transactions Under the Securities Act of 1933, Volumes 1-5; Volume 7, Parts 1-4C. Boardman Company, 1979 - Securities |
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Results 1-3 of 61
Page 10-161
... volume ) ; Kimbark Oil & Gas Co. , SEC No - Action Letter , [ 1984 ] Wash . Serv . Bur . Microfiche , fiche 789 , frame D13 ( June 16 , 1984 ) ( average monthly volume for six - month period was approximately 59,000 ) ; On - Line ...
... volume ) ; Kimbark Oil & Gas Co. , SEC No - Action Letter , [ 1984 ] Wash . Serv . Bur . Microfiche , fiche 789 , frame D13 ( June 16 , 1984 ) ( average monthly volume for six - month period was approximately 59,000 ) ; On - Line ...
Page 10-164
... volume . In- cluded among these quantitative characteristics are ( a ) the total number of securities that will ... volume , average number of shares held by each participant was only 2.32 percent of average weekly volume , and the ...
... volume . In- cluded among these quantitative characteristics are ( a ) the total number of securities that will ... volume , average number of shares held by each participant was only 2.32 percent of average weekly volume , and the ...
Page 10-353
... volume during the four - week peri- od immediately preceding the sale . ( 2 ) Unlisted Securities : In the case of securities not listed on an exchange , one percent of the outstanding securi- ties of the same class.1 1 The SEC staff ...
... volume during the four - week peri- od immediately preceding the sale . ( 2 ) Unlisted Securities : In the case of securities not listed on an exchange , one percent of the outstanding securi- ties of the same class.1 1 The SEC staff ...
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