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SECTION 4(a)(2) of the Securities Act of 1933 (the “Act”) exempts from registration “transactions by an issuer not involving any public offering.” It is section 4(a) (2) that permits an issuer to sell securities in a “private placement” without registration under the Act. Section
23 Ιουν 2015 · What are the Section 4(a)(1) and Section 4(a)(1½) exemptions, and how do they work? Section 4(a)(1) of the Securities Act of 1933 (“Securities Act”) provides an exemption for a transaction “by a person other than an issuer, underwriter, or dealer.” Rule 144 provides a non-exclusive safe harbor for the sale of securities under Section 4 ...
21 Ιαν 2016 · Key takeaways. The FAST Act adds a new exemption from SEC registration that is intended to facilitate resales of securities issued in the private market. New Section 4 (a) (7) exempts from registration private resales of securities by persons other than the issuer or a subsidiary, provided that the resale process meets certain requirements.
Office of the New York State Attorney General (“OAG”) regulates private offerings exempt from registration under (a) § 4(2) of the Securities Act, the “classic” pri-vate placement exemption, and (b) Rule 506 of Regula-tion D under the Securities Act, the safe harbor exemp-tion adopted by the Securities and Exchange
I. INTRODUCTION. This report addresses legal opinions regarding the resale of securities con-ducted in reliance on the so-called “Section 4(11⁄2)”1 exemption from the regis-tration requirements of the Securities Act of 1933, as amended (the “Securities Act”).
9 Ιουλ 2024 · Section 4 (a) (7) imposes a variety of requirements, including at least two that are fundamentally incompatible with the common use of Section 4 (a) (1½) in private offerings of asset-backed securities (“ABS”) to institutional accredited investors.
For over three decades, New York Land & Lakes has been providing our customers with exceptional land buying opportunities. That means what we offer must be better than anything else out there. There are three standards that must be met before we develop a property. We must be able to sell it at prices below the prevailing market.
