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Re: Request for Clarification of the Underwriter Exemptions

Re: Request for Clarification of the Underwriter Exemptions
U.S. Department of Labor Employee Benefits Security Administration Washington, D.C. 20210 January 18, 2008 Mr
https://www.dol.gov/ebsa/pdf/ao2008-01a.pdf

Filesize: 5037 KB   |   Ebook format : .PDF


Re: Request for Comment — New Concepts for Securities
... British Columbia V7Y 1L2 Dear Ms. Benham: Re: Request for to say that rules in response to requests for clarification the Ontario Securities Act, 1978: A Plea for Exemptions
http://www.bcsc.bc.ca/uploadedFiles/BCN2002-12_Timothy_Baikie.pdf

Filesize: 5051 KB   |   Ebook format : .PDF


Proposed Amendments to National Instrument 31-103
Re: Notice and Request for Comments – Proposed to register - Division 1 - Exemptions from dealer and underwriter 8.26(4)(e), we are seeking clarification as
http://www.osc.gov.on.ca/documents/en/Securities-Category3-Comments/com_20100930_31-103_badurinaj.pdf

Filesize: 5065 KB   |   Ebook format : .PDF


Re: Comment on Section 352 AMLP Proposed Regulation
We believe these exemptions could usefully be extended We also believe that clarification of some of the by regulating the underlying issuer or underwriter of
http://www.fincen.gov/statutes_regs/frn/comment_letters/old_comment_files/winer.pdf

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REQUEST FOR PROPOSALS FOR FINANCIAL ADVISOR SERVICES
Proposers must invoke the exemptions to disclosure provided all proposals, to abandon the project, or to re All questions or requests for clarification concerning the
http://www.ksgfoa.com/documents/Lenexa%2520RFP%2520financial%2520advisor.pdf

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VIA E-MAIL to [email protected]
Any subsequently introduced prospectus exemptions would private placement transaction made through an underwriter or omitted the legend, can that defect be cured by re
http://www.osc.gov.on.ca/documents/en/Securities-Category4-Comments/com_20030506_45-501_osler.pdf

Filesize: 5110 KB   |   Ebook format : .PDF


SEC News Digest, 05-10-1966
... FOR R E LE ASE H_a~y_1_0-,-, _1..;..96_6 __ _ EXEMPTIONS SEC NEWS DIGEST, MAY 10, 1966 Page 2 At the request of CLARIFICATION RE WOLF CORP. DECISION. In the SEC News Digest
http://www.sec.gov/news/digest/1966/dig051066.pdf

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SEC News Digest, 06-01-1964
CORRECTION RE CLARIFICATION OF STOCK OFFERING RULES. giving interested persons until June 11th to request as issuer, and Delta Funds, Inc., as underwriter.
http://www.sec.gov/news/digest/1964/dig060164.pdf

Filesize: 5140 KB   |   Ebook format : .PDF


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