 | Jonathan M. Hoff, Lawrence A. Larose, Frank J. Scaturro - 2002 - 706 páginas
...which may be made to a maximum of thirtyfive nonaccredited investors, so long as the company provides transferable share, investment contract, voting-trust...guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing." 15 USC §§ 77b(l). 4 All other exemptions provided for under Section... | |
 | Robert H. Rosenblum - 2003 - 980 páginas
...S80a-3(a). 2. Id. S 80a-2(a)(22). 3. Id. S80a-3(a)(l)(A). 4. Id. S 80a-3(a)(l)(C). 5. Id. S 80a-2(a)(36). 29 into on a national securities exchange relating to...guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.6 The definitions of the term "security" in the 1933 and 1934 Acts are... | |
 | Douglas L. Hammer - 2005 - 398 páginas
...interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment...guarantee of, or warrant or right to subscribe to purchase, any of the foregoing." 3. Id. 4. Securities & Exchange Commission v. WJ Hotvey Co., 328 US.... | |
 | Boston Institute of Finance - 2005 - 370 páginas
...partnership interests • Interest in a unit investment trust In general, the term security applies to any interest or instrument commonly known as a security,...guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing. Investment contracts may be considered securities under certain circumstances.... | |
 | Boston Institute of Finance - 2005 - 205 páginas
...partnership interests • Interest in a unit investment trust In general, the term security applies to any interest or instrument commonly known as a security,...guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing. Investment contracts may be considered securities under certain circumstances.... | |
 | James M. Bartos, Jim Bartos - 2006 - 326 páginas
...of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, ... or, in general, any interest or instrument commonly...guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing." instruments which, in view of the economic realities of the situation,... | |
 | Elayne Robertson Demby - 2010 - 316 páginas
...option, or privilege entered into on a national securities exchange relating to foreign currency; q. in general, any interest or instrument commonly known...temporary or interim certificate for, receipt for, guaranty of, or warrant or right to subscribe to or purchase any of the foregoing. 1.19 What is a supervised... | |
 | Robert Mark Walker - 2006 - 363 páginas
...privilege entered into on a national securities exchange relating to foreign currency, or in general, any instrument commonly known as a "security"; or any...temporary or interim certificate for, receipt for, or warrant or right to subscribe to or purchase, any of the foregoing; but shall not include currency... | |
 | Susan L. Preston - 2011 - 463 páginas
...interest or participation in any profit-sharing agreement, collateral-trust certificate, pre-organization certificate or subscription, transferable share, investment...guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing". Clearly, by this definition, the term security is very broadly interpreted... | |
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... security", or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing. 
