Small Business Informational Package |
From inside the book
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Page 11
... person ' who satisfies two separate tests . To be accredited under Rule 501 ( a ) ( 5 ) , an investor must purchase at least $ 150,000 of the securities being offered , by one or a combination of four specific methods : cash ...
... person ' who satisfies two separate tests . To be accredited under Rule 501 ( a ) ( 5 ) , an investor must purchase at least $ 150,000 of the securities being offered , by one or a combination of four specific methods : cash ...
Page 12
... person with a net worth at the time of purchase in excess of $ 1,000,000 . If the investor is married , the rule permits the use of joint net worth of the couple . Paragraph ( 7 ) accredits any natural person whose income has exceeded ...
... person with a net worth at the time of purchase in excess of $ 1,000,000 . If the investor is married , the rule permits the use of joint net worth of the couple . Paragraph ( 7 ) accredits any natural person whose income has exceeded ...
Page 13
... person who satisfies , or who the issuer reasonably believes satisfies , four conditions enumerated in Rule 501 ( h ) . Beyond the obligations imposed by that rule , any person acting as a purchaser representative must consider whether ...
... person who satisfies , or who the issuer reasonably believes satisfies , four conditions enumerated in Rule 501 ( h ) . Beyond the obligations imposed by that rule , any person acting as a purchaser representative must consider whether ...
Page 23
... person to be listed is an associated person or agent of a broker or dealer registered with the SEC and / or with a state or states , list the name of the broker or dealer . If more than five ( 5 ) persons to be listed are associated ...
... person to be listed is an associated person or agent of a broker or dealer registered with the SEC and / or with a state or states , list the name of the broker or dealer . If more than five ( 5 ) persons to be listed are associated ...
Page 29
... persons . However , an increasing tendency to rely upon the exemption for offerings of speculative issues to unrelated and uninformed persons prompts this statement to point out the limitations on its availability . Whether a ...
... persons . However , an increasing tendency to rely upon the exemption for offerings of speculative issues to unrelated and uninformed persons prompts this statement to point out the limitations on its availability . Whether a ...
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Common terms and phrases
accepted accounting principles accounting accredited investor additional affiliates aggregate offering price agreement amortization applicable appropriate audited balance sheet basis capital caption cash certificate chapter Column compensation computed consolidated costs CUSIP director disclosed disclosure dividends document effective date estimated exceed Exchange Act Exchange Commission executive officer exemption expenses fees financial information financial statements foreign forma furnished included income statement income tax incorporated by reference information required interest issuer liabilities limited partnership loans material offering circular offering statement oil and gas operations partner percent person post-effective amendment preferred stock presented principal prior pro forma programs proved reserves purchase pursuant to paragraph recent fiscal registrant's registration statement Regulation D Regulation S-K repurchase agreements required by Item revenues Rule schedule Securities Act Securities and Exchange security holders separately shares significant specified subsidiaries term thereof thereto tion transaction underwriters unit investment trust
Popular passages
Page 100 - ... under common control with, the person specified. (b) Control. The term "control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...
Page 228 - These securities have not been approved or disapproved by the Securities and Exchange Commission nor has the Commission passed upon the accuracy or adequacy of this prospectus. Any representation to the contrary Is a criminal offense.
Page 42 - Secretary shall be taken and held in all Courts to be as valid and binding as if due service had been made upon said applicant in the State of Kentucky.
Page 249 - equity security" means any stock or similar security: or any security convertible, with or without consideration, into such, a security, or carrying any warrant or right to subscribe to or purchase such a security ; or any such warrant or right ; or any other security which the...
Page 265 - ... any note, draft, bill of exchange, or banker's acceptance which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited. (11) The term "equity security...
Page 41 - Rule 260. (2) the notification, the offering circular or any other sales literature contains any untrue statement of a material fact or omits to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they are made, not misleading...
Page 77 - ... the statements herein required or the filing in substitution therefor of appropriate statements of comparable character. The Commission may also require the filing of other statements in addition to, or in substitution for, the statements herein required in any case where such statements...
Page 65 - ... shall be taken and held in all courts to be as valid and binding as if due service had been made upon said applicant in the State of Oklahoma.
Page 250 - predecessor" means a person the major portion of the business and assets of which another person acquired in a single succession or in a series of related successions in each of which the acquiring person acquired the major portion of the business and assets of the acquired person. Previnuxly filed or reported. — The terms "previously filed
Page 254 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.