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152a Offer or Sale of Certain Fractional Interests 153 Definition of Preceded by a Prospectus as Used in Section 5b2 in Relation to Certain Transactio...
153b Definition of Preceded by a Prospectus as Used in Section 5b2 in Connection With Certain Transactions in Standardized Options 156 Investme...
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acquired action additional agency amendment amount annual applicable appropriate assets associated authority bank basis become broker column Commission compensation connection contained contract copy covered dealer deemed described determination director disclosure document effective electronic equity Exchange Act executive officer exemption exhibit Federal filed filer fiscal foreign Form format furnished grant incorporated indicate Instructions interest investment investors issued issuer Item limited material means ment named necessary notice offering officer operations opinion options organization otherwise paragraph partnership period person principal prior proposed prospectus purchase pursuant reasonable received reference regis registrant's registration statement Regulation relating respect Rule Schedule Securities Act security holders shares sion small business issuer sold specified subsidiaries term thereof tion transaction underwriter United unless