Compilation of Releases Dealing with Matters Frequently Arising Under the Securities Act of 1933U.S. Government Printing Office, 1970 - 102페이지 |
도서 본문에서
27개의 결과 중 1 - 5개
1 페이지
... Counsel , John J. Burns , consider- ing the application of the exemption in section 3 ( a ) ( 10 ) of the Securities Act of 1933 of sec- urities issued in exchange for other securities where the terms of this issuance and exchange were ...
... Counsel , John J. Burns , consider- ing the application of the exemption in section 3 ( a ) ( 10 ) of the Securities Act of 1933 of sec- urities issued in exchange for other securities where the terms of this issuance and exchange were ...
2 페이지
... Counsel , John J. Burns , as to the applica- bility to Collateral Trust Notes of the exemp- tion from registration provided for in section 3 ( a ) ( 3 ) of the Securities Act . A recent opinion on this matter , made public in Release No ...
... Counsel , John J. Burns , as to the applica- bility to Collateral Trust Notes of the exemp- tion from registration provided for in section 3 ( a ) ( 3 ) of the Securities Act . A recent opinion on this matter , made public in Release No ...
3 페이지
... Counsel , John J. Burns , concerning the inter- pretation of section 3 ( a ) ( 9 ) of the Securities Act of 1933. This section in substance exempts from registration securities exchanged by an issuer with its existing security holders ...
... Counsel , John J. Burns , concerning the inter- pretation of section 3 ( a ) ( 9 ) of the Securities Act of 1933. This section in substance exempts from registration securities exchanged by an issuer with its existing security holders ...
4 페이지
... Counsel was in reply to an inquiry whether securities previously received by a controlling stockholder in a bona fide exchange except under section 3 ( a ) ( 9 ) should be registered before being of- fered to the public through a ...
... Counsel was in reply to an inquiry whether securities previously received by a controlling stockholder in a bona fide exchange except under section 3 ( a ) ( 9 ) should be registered before being of- fered to the public through a ...
6 페이지
... Counsel , John J. Burns , con- cerning the requirements of section 5 ( b ) ( 2 ) of the Act in a case where the purchaser of the securities involved has previously received a copy of the prospectus from a source other than the seller ...
... Counsel , John J. Burns , con- cerning the requirements of section 5 ( b ) ( 2 ) of the Act in a case where the purchaser of the securities involved has previously received a copy of the prospectus from a source other than the seller ...
기타 출판본 - 모두 보기
자주 나오는 단어 및 구문
acquired advertisements amended Aug amount applicable appropriate basis behalf beneficial ownership broker-dealer circumstances clause of section common stock connection control person convertible security copies Corporation counsel court Crowell-Collier curities debentures deemed disclosure distribution earnings per share effective date Exchange Commission exemption under section fact filed financial statements firms foreign Form S-1 fund income statement interest Investment Company Act investment contract investors involved issuance issuer Item lease liabilities mails ment open-end investment opinion options period prior proposed rule public offering Public Utility Act purchase pursuant question Ralston Purina real estate regis registration and prospectus registration requirements registration statement requirements of section respect rities S.D. Cal section 3(a secu Securities Act Release Securities and Exchange Securities Exchange Act security holders shareholders shares sold solicitation spectus staff statutory stockholders substantial trading transactions tration underlying security underwriters United whisky
인기 인용구
4 페이지 - As used in this paragraph the term "issuer" shall include, in addition to an issuer, any person directly or indirectly controlling or controlled by the issuer, or any person under direct or indirect common control with the issuer.
100 페이지 - The test is whether the scheme involves an investment of money in a common enterprise with profits to come solely from the efforts of others.
31 페이지 - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
95 페이지 - An Act to provide full and fair disclosure of the character of securities sold in interstate and foreign commerce and through the mails, and to prevent frauds in the sale thereof, and for other purposes...
8 페이지 - ... in exchange for one or more bona fide outstanding securities, claims or property interests, or partly in such exchange and partly for cash...
99 페이지 - Securities and Exchange Commission pursuant to section 13 or 15 (d) of the Securities Exchange Act of 1934...
54 페이지 - Is available, and must comply with the anti-fraud provisions of the Securities Act and the Securities Exchange Act and the regulations thereunder.
19 페이지 - Any person who— (1) offers or sells a security in violation of section 5, or (2) offers or sells a security (whether or not exempted by the provisions of section 3, other than paragraph (2) of subsection (a) thereof), by the use of any means or instruments of transportation or communication in interstate commerce or of the mails...
59 페이지 - sell" includes every contract of sale of, contract to sell, or disposition of, a security or interest in a security for value; (2) "Offer" or "offer to sell" includes every attempt or offer to dispose of, or solicitation of an offer to buy, a security or interest in a security for value...
13 페이지 - ... the largest aggregate reported volume of trading on securities exchanges during any one week within the four calendar weeks preceding the receipt of such order. (e) For the purposes of paragraph (d) of this section : (1) The term "brokers