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The top documents tagged [term issuer]
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Essentials of Equity Trading for the Loan Market Attorney Advertising June 28, 2011 andrewskurth.com
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Securities Act Secondary Distributions Insider resales - §2(a)(11) Broker as underwriter –“offers or sells for issuer icw the distribution” –"issuer" includes
218 views
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Actuaries Supporting the Financial Audit: Independence Issues and the Impact of the Sarbanes-Oxley Act Mike Grillaert, Partner Casualty Loss Reserve Seminar
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Securities Act Secondary Market Transactions Rule 144 Coverage –Insiders resales (“affiliates”) –Non-insider resales (“restricted shares”) –Brokers facilitating
219 views
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Securities Act Secondary Distributions Rule 144A Coverage –Resales of “restricted shares” –Offers/sales only to “qualified institutional buyers” –Brokers
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Securities Act Secondary Distributions
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Mike Grillaert, Partner Casualty Loss Reserve Seminar September 24, 2002
21 views