 | David E. Vance - Business & Economics - 2005 - 408 pages
...evidence of ownership that securities may not be resold without registration. e) A company must not be subject to the reporting requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934. (If a company is already regulated under some other provision of securities... | |
 | Susan L. Preston - Business & Economics - 2011 - 347 pages
...sale. Exemption for Limited Offers and Sales of Securities Not Exceeding $5,000,000 Reg. § 230.505. (a) Exemption. Offers and sales of securities that satisfy the conditions in paragraph (b) of this § 230.505 by an issuer that is not an investment company shall be exempt from the provisions of section... | |
 | Jean L. Batman - Business & Economics - 2007 - 802 pages
...exercise will be exempt from registration under the Securities Act. In the event the Company becomes subject to the reporting requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, ninety (90) days thereafter (or such longer period as any market stand-off... | |
 | Business enterprises - 2007 - 948 pages
...customers, employees, and other individuals. 5. PUBLICLY AVAILABLE INFORMATION Generally, companies that are subject to the reporting requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended (public companies), must make extensive disclosure to investors,... | |
 | Administrative law - 2001 - 736 pages
...20, 1989] §230.504 Exemption for limited offerings and sales of securities not exceeding $1,000,000. (a) Exemption. Offers and sales of securities that...of the Exchange Act,; (2) An investment company; or (8) A development stage company that either has no specific business plan or purpose or has indicated... | |
 | Administrative law - 1994 - 690 pages
...20. 1989] $230.504 Exemption for limited offerings and sales of securities not exceeding $1,000,000. (a) Exemption. Offers and sales of securities that...subject to the reporting requirements of section 13 or 15(<1 ) of the Exchange Act,; (2) an investment company; or (3) a development stage company that either... | |
 | Administrative law - 1998 - 728 pages
...1996] §230.505 Exemption for limited offen and sales of securitie ing $5,000,000. les not exceed(a) Exemption. Offers and sales of securities that satisfy the conditions in paragraph (b) of this section by an issuer that is not an investment company shall be exempt from the provisions of section... | |
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Reg. § 230.504. (a) Exemption. Offers and sales of securities that satisfy the conditions in paragraph (b) of this... 
