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CHANGE UNIT
Current Unit: UNIT 1: Regulation of Persons & Broker Dealers
Table of Contents
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EXCLUSIONS FROM THE TERMS; Offer, Offer to Sell, Sale or Sell
- Pledge or loan; You expect to get this back when paid off, so it was never sold or offered
- Gift of non-accessible stock
- Stock dividend
- Class vote by stockholders to for the following
- Certificate of incorporation
- Merger, consolidation, reclassification of securities, or sale of corp assets
- Act incidental to a reorganization in which a security is exchanged for another
INCLUDED for Offer, offer to sell, sale or sell
- Issues of warrants
- Insurance of stock rights