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9.9A Sale of Unregistered Securities

Category:
Federal - Jury Instructions - 9th Circuit - Criminal
State:
Multi-State
Control #:
US-JURY-9THCIR-9-9-CR
Format:
Rich Text
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Description

Sample Jury Instructions from the 9th Circuit Federal Court of Appeals. http://www3.ce9.uscourts.gov/jury-instructions/ A 9.9A Sale of Unregistered Securities is a type of transaction where securities are sold without being previously registered with the appropriate government regulatory agency. This type of sale is commonly used when companies want to raise capital and when private investors want to sell securities in situations where a public offering is not feasible. There are two types of 9.9A Sale of Unregistered Securities: private placement and Regulation D. Private placements are offered to a limited number of accredited investors, while Regulation D offerings are available to the public. Both types of sales require the filing of a Form D with the SEC and follow the requirements of the Securities Act of 1933.

A 9.9A Sale of Unregistered Securities is a type of transaction where securities are sold without being previously registered with the appropriate government regulatory agency. This type of sale is commonly used when companies want to raise capital and when private investors want to sell securities in situations where a public offering is not feasible. There are two types of 9.9A Sale of Unregistered Securities: private placement and Regulation D. Private placements are offered to a limited number of accredited investors, while Regulation D offerings are available to the public. Both types of sales require the filing of a Form D with the SEC and follow the requirements of the Securities Act of 1933.

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