Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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General Rules and Regulations
under the
Securities Act of 1933

Rule 152 -- Definition of "Transactions by an Issuer Not Involving Any Public Offering" in Section 4(2), for Certain Transactions

The phrase "transactions by an issuer not involving any public offering" in Section 4(2) shall be deemed to apply to transactions not involving any public offering at the time of said transactions although subsequently thereto the issuer decides to make a public offering and/or files a registration statement.

Regulatory History

2 FR 1076, May 26, 1937, as amended at 30 FR 2022, Feb. 13, 1965

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