Key SEC No-action Letters: Text and Analysis of Staff Interpretations of the 1933 & 1934 Acts |
Common terms and phrases
accredited investor acquired company advertising affiliate aggregate offering price ammonia amount Appendix apply assets bank broker-dealer Calamco Comdisco commercial paper Commission common stock condominium condominium units Corp Corporation Finance counsel current transactions dealers Debentures deemed disclosure distribution employees entity equipment equity Exchange exemption fact factors funds Gainesway Farm grantor holding period horse breeding Incoming letter dated integration interpretive intrastate involved issued issuer July 19 lease leaseback limited partnership interests loans Massachusetts business trust Master Trust Mortgage no-action letters no-action position notes offer and sale offerees offers or sales owner payments percent persons prior proceeds proposed public offering purpose pursuant Question real estate registration requirements Regulation D offering rental resales residents restricted securities restricted stock Rule sales of securities Section 3(a sell Sept shareholders shares sold specific staff held stallion statement subsidiary supra tacking transfer transferor underwriters