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Securities offering
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#	Item
871	[removed]Provisions applicable to registration generally. (1) A registration statement may be filed by the issuer, another person on whose behalf the offering is to be made, or a licensed broker-dealer. (2) A person fili Add to Reading List Source URL: le.utah.gov Language: English - Date: 2013-02-17 21:06:31 Financial economics Finance Stock market Investment SEC filings Securities Act Securities Exchange Act Security Red herring prospectus United States Securities and Exchange Commission United States securities law 73rd United States Congress
872	Microsoft Word - S7[removed]comment letter4[removed]_2_.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-04-29 13:14:03 Financial regulation United States Securities and Exchange Commission 73rd United States Congress Investment Securities Exchange Act Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Initial public offering Investment Advisers Act Stock market Financial economics United States securities law
873	Microsoft Word - Key Questions.doc Add to Reading List Source URL: securities.utah.gov Language: English - Date: 2013-09-12 18:34:07 Financial services Funds Corporate finance Stock market Collective investment scheme Institutional investor Securities offering Hedge fund Investment banking Financial economics Finance Investment
874	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No[removed]September 23, 2013 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-09-23 15:40:22 Investment Corporate finance Security Financial Industry Regulatory Authority Regulation D U.S. Securities and Exchange Commission Initial public offering Financial adviser Financial economics Stock market Business
875	NASAA SMALL COMPANY OFFERING REGISTRATION (SCOR) MANUAL This Manual has been prepared to help you complete the Form U-7 Disclosure Document. It contains instructions for completing the Items in the Form. If you need furt Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2014-04-02 10:19:51 United States corporate law Actuarial science Regulation S-K United States securities law Management Franchise disclosure document Auditing Business SEC filings
876	DO 05-47, Denial of Stock Repurchase Notice, [removed] Add to Reading List Source URL: www.occ.gov Language: English - Date: 2012-02-23 15:55:33 Business Corporate finance Share repurchase Generally Accepted Accounting Principles Equity securities Equity Short Initial public offering Office of Thrift Supervision Stock market Finance Financial economics
877	Indicative Issue Timelines IPO / FPO indicative timeline Due diligence by Book Running Lead Managers (“ BRLMs ”) and Week 1-3 Legal Advisors; Signing of BRLMs engagement letters and Issue Agreement Add to Reading List Source URL: www.divest.nic.in Language: English - Date: 2011-04-04 09:23:30 Business Finance Securities and Exchange Board of India Red herring prospectus Due diligence Prospectus Demat account Initial public offering Stock exchange Stock market Financial economics Securities
878	Microsoft Word - jun16-11.doc Add to Reading List Source URL: www.azinvestor.gov Language: English - Date: 2012-04-19 17:24:42 Investment Securities Corporate finance Financial services Prospectus Private placement Financial Industry Regulatory Authority Securities offering Initial public offering Financial economics Stock market Finance
879	Microsoft Word - Palma v Westergaard Complaint[removed] Add to Reading List Source URL: www.dandodiary.com Language: English - Date: 2014-08-11 11:58:54 Investment Finance Initial public offering Preferred stock Securities offering Short Corporate finance Stock market Financial economics
880	Notice of Pre-Marketing and Marketing Amendments to Prospectus Rules (Final) Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2013-05-30 10:59:16 Stock market Corporate finance Securities Non-reporting issuer Prospectus Securities Act Canadian securities regulation Initial public offering Greenshoe Financial economics Investment Finance

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