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COMPILATION OF RELEASES
DEALING WITH MATTERS
FREQUENTLY ARISING

under the
Securities Act of 1933

February 1, 1970

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له کمک

DEPOSITED BY THE UNITED STATES OF AMERICÀ

8-6-70

PREFACE

This compilation includes certain releases dealing with matters frequently arising under the Securities Act of 1933. It does not purport to be exhaustive.

These releases should be read in connection with the Securities Act of 1933, the Rules and Regulations thereunder and with the Decisions and Reports of the Commission. Opinions relating to accounting principles are contained in the Accounting Series Releases. These are specifically referred to in Regulation S-X, which states the requirements applicable to the form and content of most financial statements required to be filed with the Commission.

The Securities Act of 1933 and all of the documents referred to above are available for purchase from the Superintendent of Documents, United States Government Printing Office, Washington, D.C., 20402.

The Staff of the Commission also renders to members of the public, administrative interpretations of the law and regulations.

TO

TABLE OF CONTENTS

Release No.

312 (Section 3(a)(10)—Governemtal approved exchange)--

401 (Section 3(a)(3)—Short-term paper)-----

646 (Section 3(a)(9)—Exchange of securities)------

828 (Section 5(b)(2)-Delivery of prospectus)---

3011 (Section 5—When-issued trading)---

3210 (Section 5—Warrants)----

3343 (Section 5—When-issued trading)--

3411 (Section 17(a)—Hedge clauses)------

3525 (Section 4(4)—Rule 154—Brokers' exemption)

3825 (Section 4(2)—Private offering)---

3844 (Section 5-Publicity)-----

3890 (Section 2(1)—Security)-------

3892 (Section 2(1)—Security)-------

3965 (Section 5—Rule 133—Mergers)--

4150 (Sections 2(11), 17—Hot issues)----

4248 (Section 5—Rule 155—Convertible securities)

4298 (Section 5—Real estate investment trust).-

4412 (Section 3(a)(3)—Short-term paper)--------

4434 (Section 3(a)(11)—Intrastate exemption)-----

4445 (Sections 4(1), 4(3), 5—Distribution, dealer) ---

4450 (Section 5—Rule 155—Convertible securities)

4491 (Section 2(1)—Security)------

4552 (Section 4(2)—Private offering) ------

4697 (Section 5—Publicity, underwriter) -

4708 (Section 5—Foreign offering)---

4709 (Section 2(10)(b)—Advertising)------

4790 (Section 2(3)–Employee stock purchase plans).

4818 (Section 4(4)-Rule 154—Brokers' exemptions) -

4819 (Section 5 Beneficial ownership)------

4910 (Section 8(a)-Financial information, acceleration, proxies)

4913 (Real estate development loans)---

4921 (Section 3(a)(2)—Industrial revenue bonds)----

4936 (Section 5Registration guides)----

4940 (Section 2(10)—Advertising) ------

4950 (Section 7—Certified financial statements)----

4951 (Section 5—Guides on offer and sale outside U.S. of shares of registered open-end

investment companies)-------------

4968 (Section 8(a)—Preliminary prospectuses)-----
4982 (Section 2(11)—Spin-offs and shell corporations)--------

5005 (Sections 5 and 10—Guides relating to misleading character of certain regis-

trants' names)------

5009 (Section 5—Publicity)--------------

5018 (Section 17(a)–Offer and sale of whiskey warehouse receipts).

5036 (Section 5—Registration Guide, oil and gas interest) -------

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