Small Business Informational PackageU.S. Securities and Exchange Commission, 1988 - 315 páginas |
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Página 1
... person for resales of the issuer's securities . The rules provide an exemption only for the transactions in which ... person who comes within any of the following categories , or who the issuer reasonably believes comes within any of the ...
... person for resales of the issuer's securities . The rules provide an exemption only for the transactions in which ... person who comes within any of the following categories , or who the issuer reasonably believes comes within any of the ...
Página 2
... person whose individual net worth , or joint net worth with that person's spouse , at the time of his pur- chase exceeds $ 1,000,000 ; ( 6 ) Any natural person who had an individual income in excess of $ 200,000 in each of the two most ...
... person whose individual net worth , or joint net worth with that person's spouse , at the time of his pur- chase exceeds $ 1,000,000 ; ( 6 ) Any natural person who had an individual income in excess of $ 200,000 in each of the two most ...
Página 3
... person who performs similar policy making functions for the issuer . Executive officers of subsidiaries may be deemed executive officers of the issuer if they perform such policy making functions for the issuer . ( g ) Issuer . The ...
... person who performs similar policy making functions for the issuer . Executive officers of subsidiaries may be deemed executive officers of the issuer if they perform such policy making functions for the issuer . ( g ) Issuer . The ...
Página 7
... person that has been or will be paid directly or indirectly remuneration for solicitation of purchasers in connection with sales of securities under this $ 230.505 ; and ( C ) Paragraph ( b ) ( 2 ) ( iii ) of this $ 230.505 shall not ...
... person that has been or will be paid directly or indirectly remuneration for solicitation of purchasers in connection with sales of securities under this $ 230.505 ; and ( C ) Paragraph ( b ) ( 2 ) ( iii ) of this $ 230.505 shall not ...
Página 10
... person who comes within or " who the issuer reasonably believes " comes within one of the enumerated categories " at the time of the sale of the securities to that person . " What constitutes " reasonable " belief will depend on the ...
... person who comes within or " who the issuer reasonably believes " comes within one of the enumerated categories " at the time of the sale of the securities to that person . " What constitutes " reasonable " belief will depend on 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.