 Any issuer whose outstanding securities (other than short-term paper) are beneficially owned by not more than one hundred persons and which is not making and does not presently propose to make a public offering of its securities.  Annual Report - Page 77by United States. Small Business Administration - 1969Full view - About this book
 | United States. Securities and Exchange Commission - 1953 - 734 pages
...are beneficially owned by not more than 100 persons and where such registered investment company is not making and does not presently propose to make a public offering of its securities, held that such company is ezcepted from the definition of an investment company and is entitled to... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 pages
...paper) are beneficially owned by not more than one hundred persons and which is not making »nd does not propose to make a public offering of its securities. For the purposes "! this paragraph, beneficial ownership by a company shall be deemed to be beneficial ownership by... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 pages
...paper) are beneficially owned by not more than one hundred persons and which is not making ltd does not propose to make a public offering of its securities. For the purposes uf this paragraph, beneficial ownership by a company shall be deemed to be bene5cial ownership by one... | |
 | United States - 2000 - 1216 pages
...(other than short-term paper) are beneficially owned by not more than one hundred persons and which is not making and does not presently propose to make a public offering of its securities. Such issuer shall be deemed to be an investment company for purposes of the limitations set forth in... | |
 | United States. Securities and Exchange Commission - 1953 - 1386 pages
...5. The stock of the applicant is not listed on or traded on any exchange. Applicant represents it is not making and does not presently propose to make a public offering of its securities. 6. Applicant is presently excepted from the definition of investment company in the Act by virtue of... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1959 - 716 pages
...securities (other than short-term paper) arc beneficially owned by not more than 100 persons and which is not making and does not presently propose to make a public offering of its securities," is not subject to regulation under the Act.** Under the SEC's proposed rule, sales of stock by the... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1959 - 724 pages
...securities (other than short-term paper) are beneficially owned by not more than 100 persons and which is not making and does not presently propose to make a public offering of its securities," is not subject to regulation under the Act.** Under the SEC's proposed rule, sales of stock by the... | |
 | United States. Congress. House. Government Operations - 1963 - 212 pages
...provisions of the Investment Company Act if its securities are owned by not more than 100 persons and It is not making and does not presently propose to make a public offering of its securities (sec. 3(c)(l». Both elements must be considered in determining whether the exemption Is available.... | |
 | United States. Congress. House. Committee on Government Operations - 1963 - 206 pages
...provisions of the Investment Company Act if its securities are owned by not more than 100 persons and it is not making and does not presently propose to make a public offering of its securities (sec. 3(c)(l)). Both elements must be considered in determining whether the exemption is available.... | |
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