Securities Regulation: Selected Statutes, Rules, and FormsThomas Lee Hazen, David L. Ratner |
Contents
Rule Page | 34 |
Statement Required in All Offering Circulars | 88 |
Suspension of Exemption | 89 |
Copyright | |
17 other sections not shown
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Common terms and phrases
affiliate aggregate amendment amount annual report application appropriate regulatory agency bank beneficial owners broker or dealer broker or government business days clearing agency Commis Commission copies curities deemed director disclosure document employee equity securities exemption Federal Federal Reserve System financial statements fiscal foreign furnished government securities broker government securities dealer graph information required Investment Company issuer istered market maker material means ment municipal securities dealer national securities exchange necessary or appropriate offering price officer options participant penny stock period prior prospectus protection of investors proxy proxy statement purchase purposes pursuant to paragraph pursuant to Rule pursuant to section quired quotation regis registrant's registration statement Regulation S-K request required by Item respect rities rules and regulations secu Securities Act security holders self-regulatory organization sion solicitation specified suant subsidiaries tender offer term thereof tion transaction transfer agent underwriter