A security in distribution is convertible into an actively-traded security. Is the security in distribution subject to a restricted period under Rule 101?
Related Questions
- If an issuer purchases its securities before the Regulation M restricted period begins for the security in distribution, may the settlement of this trade occur during the restricted period without violating Regulation M?
- Does an underwriter stabilizing the price of a security have to comply with Rule 104 even though the securities qualify for the actively-traded securities exception under Rule 101?
- What does the Security Rule encompass?
