Small Business Informational PackageU.S. Securities and Exchange Commission, 1988 - 315 páginas |
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Página 5
... changes in the issuer's affairs that are not disclosed in the documents furnished . ( D ) If the issuer is a foreign ... change , during the course of the transaction and prior to sale , written information about any terms or arrange ...
... changes in the issuer's affairs that are not disclosed in the documents furnished . ( D ) If the issuer is a foreign ... change , during the course of the transaction and prior to sale , written information about any terms or arrange ...
Página 14
... changes its intentions and proposes to make sales to non - accredited investors . Would the requirement that the issuer deliver the specified information to all purchasers prior to sale if any sales are made to non - accredited ...
... changes its intentions and proposes to make sales to non - accredited investors . Would the requirement that the issuer deliver the specified information to all purchasers prior to sale if any sales are made to non - accredited ...
Página 15
... changes in the issuer's affairs that are not disclosed in the documents furnished . See Rule 502 ( b ) ( 2 ) ( ii ) ( C ) . C. General Rule 501 ( b ) ( 2 ) also contains four general provisions applicable to all classes of issuer in all ...
... changes in the issuer's affairs that are not disclosed in the documents furnished . See Rule 502 ( b ) ( 2 ) ( ii ) ( C ) . C. General Rule 501 ( b ) ( 2 ) also contains four general provisions applicable to all classes of issuer in all ...
Página 21
... change . ) OMB APPROVAL OMB Number : 3235-0076 Expires : August 31 , 1989 Estimated average burden hours per response ... changes from the information previously supplied in Parts A and B. Part E and the Appendix need not be filed with ...
... change . ) OMB APPROVAL OMB Number : 3235-0076 Expires : August 31 , 1989 Estimated average burden hours per response ... changes from the information previously supplied in Parts A and B. Part E and the Appendix need not be filed with ...
Página 30
... change of circumstances since the date of purchase may be a basis for an opinion that the proposed resale is not inconsistent with an investment representation . However , such claim must be considered in the light of all of the ...
... change of circumstances since the date of purchase may be a basis for an opinion that the proposed resale is not inconsistent with an investment representation . However , such claim must be considered in the light of all of the ...
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Términos y frases comunes
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
Pasajes populares
Página 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...
Página 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.
Página 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.
Página 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...
Página 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...
Página 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...
Página 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...
Página 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.
Página 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
Página 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.