17 CFR 230.152 - Definition of ''transactions by an issuer not involving any public offering'' in section 4(2), for certain transactions

Cite as17 CFR 230.152
    • This document is available in original version only for vLex customers

      View this document and try vLex for 7 days
    • TRY VLEX
10 practice notes
  • Economic Growth and Regulatory Paperwork Reduction Act of 1996 Amendments
    • United States
    • Federal Register March 14, 2016
    • March 14, 2016
    ...costs and less regulatory burden for such issuances. --------------------------------------------------------------------------- \69\ 17 CFR 230.152. \70\ 17 CFR \71\ 15 U.S.C. 77d. --------------------------------------------------------------------------- The OCC notes that the JOBS Act a......
  • Securities: Securities offerings reform; registration, communications, and offering processes; modification,
    • United States
    • Federal Register November 17, 2004
    • November 17, 2004
    ...changes could not be used to offer or sell securities in the private offering or as a way to circumvent the provisions of Rule 152. \272\ 17 CFR 230.152. An issuer registering the resale of securities sold in a private offering, in which the securities were not yet issued in the private off......
  • Part II
    • United States
    • Federal Register November 17, 2004
    • November 17, 2004
    ...changes could not be used to offer or sell securities in the private offering or as a way to circumvent the provisions of Rule 152. \272\ 17 CFR 230.152. An issuer registering the resale of securities sold in a private offering, in which the securities were not yet issued in the private off......
  • Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings
    • United States
    • Federal Register July 24, 2013
    • July 24, 2013
    ...Management. --------------------------------------------------------------------------- \1\ 17 CFR 230.145. \2\ 17 CFR 230.147. \3\ 17 CFR 230.152. \4\ 17 CFR \5\ 17 CFR 230.501. \6\ 17 CFR 230.506. \7\ 17 CFR 230.500 through 230.508. \8\ 17 CFR 239.500. \9\ 15 U.S.C. 77a et seq. \10\ 17 CF......
  • Request a trial to view additional results
2 cases
  • In re Board of Directors of Multicanal S.A., No. 04-10280 (ALG).
    • United States
    • United States Bankruptcy Courts. Second Circuit. U.S. Bankruptcy Court — Southern District of New York
    • March 29, 2006
    ...analysis is only applicable to the § 3(a)(9) exemption and that it can use the safe-harbor of Rule 152 under the Securities Act, 17 C.F.R. § 230.152, to prevent integration of the issuance of securities to the QIBs and the U.S. retail holders. Huff, on the other hand, argues that a § 3(a)(1......
  • Ligon v. Deloitte, Haskins & Sells, No. 91-1687
    • United States
    • United States Courts of Appeals. United States Court of Appeals (8th Circuit)
    • February 21, 1992
    ...from registration pursuant to section 4(2) of the 1933 Securities Exchange Act are offered for sale. See 15 U.S.C. § 77d(2) (1988); 17 C.F.R. § 230.152 (1991). The information included in a PPM is similar to that included in a prospectus for a nonexempt offering. Compare 17 C.F.R. § 230.502......

VLEX uses login cookies to provide you with a better browsing experience. If you click on 'Accept' or continue browsing this site we consider that you accept our cookie policy. ACCEPT