SI
SI
discoversearch

We've detected that you're using an ad content blocking browser plug-in or feature. Ads provide a critical source of revenue to the continued operation of Silicon Investor.  We ask that you disable ad blocking while on Silicon Investor in the best interests of our community.  If you are not using an ad blocker but are still receiving this message, make sure your browser's tracking protection is set to the 'standard' level.
Microcap & Penny Stocks : Rocky Mountain Int'l (OTC:RMIL former OTC:OVIS) -- Ignore unavailable to you. Want to Upgrade?


To: michael d kugler who wrote (20084)11/19/1997 6:58:00 PM
From: John Gault  Read Replies (2) | Respond to of 55532
 
What information would you like? I can give you the investigators name and number but it's at work.



To: michael d kugler who wrote (20084)11/19/1997 8:46:00 PM
From: TLWatson59  Read Replies (2) | Respond to of 55532
 
Michael: It's been a long time since I was involved in an underwriting but I believe the "Blue Sky" provisions apply only to new stock issues or secondary issues sold through an offering Prospectus or with an exemption from a state's securities division. Trading in existing shares of a public corporation do not require clearance under Blue Sky provisions. The question here may be do these laws apply to REG "S" shares and REG 144 shares issued in lieu of cash payment for services or employment compensation.

This of course can alway be checked by contacting the NASD or your own state's securities department. If I am wrong I would like to know for future reference.

Good luck,

TLW