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The expert analysis in Exempted Transactions Under the Securities Act of 1933 explains how to obtain maximum benefit from transactional exemptions and provides guidance to issuers, affiliates, underwriters, and broker-dealers. Featuring detailed treatment of all statutory and regulatory foundations of the exemptions, this work discusses:
• How each exemption is used and interpreted
• How exemption provisions or rules compare with other exemptions
• How exemptions comport with disclosure philosophy underlying the Securities Act
• Assess current law through an extensive review of SEC no-action and interpretive letters
• Identify crucial liability issues
• Avoid the perils associated with selling restricted securities (and avoid costly oversights)
• Advise your employer or clients on how the laws have been implemented by the SEC
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