Rule Index Rule 901 General Statement Rule 902 Definitions Rule 903 Offers or sales by Issuer, etc. Rule 904 Offshore Resales Rule 905 Resale Limitations Rules Rule 901 - General Statement Preliminary Notes Rule 901 Text Rule 902 - Definitions Debt securities Designated offshore securities market Directed selling [more...]
Exemption for Transactions Exempt from Qualification Under California Corporations Code § 25102(n) Rule 1001 Official source 17 CFR ____ e-CFR Official source 2006 CFR Official source Preliminary Notes: 1. Nothing in this section is intended to be or should be construed as in any way relieving issuers or persons acting on [more...]
Summary Registration exemption for equity compensation arrangements of private companies Release summary Safe harbor Only available to non-public companies But becoming a filer does not affect exemption for options, etc. granted while private Arrangement must be compensatory Not a subterfuge for raising capital Criteria Written compensatory [more...]