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Article
Publication date: 13 June 2008

Valerie Ford Jacob, Daniel J. Bursky, Stuart H. Gelfond, Michael A. Levitt, Paul D. Tropp and Vasiliki B. Tsaganos

The purpose of this paper is to describe recent amendments to Rule 144 of the Securities Act of 1933 concerning holding periods and resale of privately placed securities.

Abstract

Purpose

The purpose of this paper is to describe recent amendments to Rule 144 of the Securities Act of 1933 concerning holding periods and resale of privately placed securities.

Design/methodology/approach

The paper describes key changes with respect to shortened holding periods, elimination of most requirements for non‐affiliates, and relaxation of requirements for sale of debt securities.

Findings

The paper finds that the SEC has adopted significant amendments to Rule 144 that will increase the liquidity of privately placed securities and ease the burden on issuers caused by having to grant burdensome registration rights. The amendments shorten the holding periods before affiliates and non‐affiliates may sell restricted securities and otherwise loosen restrictions on the public resale of equity and debt securities acquired in private placements.

Originality/value

The paper is a useful guide to rule changes written by experienced securities lawyers.

Details

Journal of Investment Compliance, vol. 9 no. 2
Type: Research Article
ISSN: 1528-5812

Keywords

Book part
Publication date: 1 January 2006

K. Brock Enger

Using bibliometrics to examine eight core journals in the year 2000 for the disciplines of higher education and library science, characteristics of the authors were…

Abstract

Using bibliometrics to examine eight core journals in the year 2000 for the disciplines of higher education and library science, characteristics of the authors were determined, including gender or sex; Carnegie Classification or institutional affiliation; and position of the authors. Characteristics of the articles were also examined, including the research methods used such as descriptive statistics, inferential statistics, or qualitative analysis. A content analysis of each article was performed to determine the subjects discussed in each literature. For both disciplines, it was learned that males publish more, the highest Carnegie Classification, extensive research institutions, were represented the most, and authors came from academic departments other than their own disciplines. In higher education, inferential statistics were used frequently; in library and information descriptive statistics were used frequently; both disciplines failed to use research methodologies regularly. From these findings, it appears that both disciplines are still emerging and are in their early stages of development.

Details

Advances in Library Administration and Organization
Type: Book
ISBN: 978-0-7623-1410-2

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