Law Blog Category: Section 3(a)(9)
What Is A Security? The Howey Test And Reves Test
November 25, 2014 in Section 3(a)(10), Section 3(a)(9), Section 5, The Howey Test, The Reves Test, Uncategorized
Exemption to Broker-Dealer Registration Requirements for Officers, Directors and Key Employees
May 20, 2014 in Broker Dealer Registration Requirements, Broker-Dealer, Rule 506, Section 3(a)(39), Section 3(a)(9), Uncategorized
A Basic Overview of Rule 144
February 11, 2014 in Rule 144, Rule 144 Legal Opinions, Rule 144 Opinion Letters, Rule 144A, Section 3(a)(9), Securities Attorneys
Overview of Recognized Exemptions From Section 5
January 08, 2010 in Regulation D, Regulation S, Reverse Mergers, Rule 144, Section 3(a)(9), Section 5
The Securities Act of 1933 recognizes two broad types of exemptions to the registration requirements of Section 5, exempt securities and exempt transactions.
The Exempt securities are set forth in Sections 3(a)(1) – (8), (13) and (14) of the Securities Act. Exempt securities are continuously exempt from the registration requirements regardless of the nature of the transaction in which they may be offered, issued, sold or resold. Examples of exempt securities which may be publicly offered, issued, sold and resold by their issuers or any other person without registration include…