Compilation of Releases Dealing with Matters Frequently Arising Under the Securities Act of 1933U.S. Government Printing Office, 1970 - 102페이지 |
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42개의 결과 중 1 - 5개
11 페이지
... ment adviser . A legend in common use states in effect that the information is obtained from specified sources and is believed to be reliable but that its accuracy is not guaranteed . Assuming the truth of the representations as to the ...
... ment adviser . A legend in common use states in effect that the information is obtained from specified sources and is believed to be reliable but that its accuracy is not guaranteed . Assuming the truth of the representations as to the ...
12 페이지
... ment on September 13 , 1954 , in Release No. 3515 , a revised proposal for amendment of Rule 154. The revised proposal , among other things , suggested certain percentage tests as ready guides for routine trading transactions . The ...
... ment on September 13 , 1954 , in Release No. 3515 , a revised proposal for amendment of Rule 154. The revised proposal , among other things , suggested certain percentage tests as ready guides for routine trading transactions . The ...
15 페이지
... ment letters . Prior to the closing date ( August 10 ) , approximately one third of the 27 pur- chasers who gave the investment letters dated August 10 , with respect to the debentures had secured others to join them as participants in ...
... ment letters . Prior to the closing date ( August 10 ) , approximately one third of the 27 pur- chasers who gave the investment letters dated August 10 , with respect to the debentures had secured others to join them as participants in ...
16 페이지
... ment representation as to the debentures only in the same language employed in the 1955 letter quoted above . Three of these purchasers , who were broker- dealers , immediately resold an aggregate of approximately $ 330,000 principal ...
... ment representation as to the debentures only in the same language employed in the 1955 letter quoted above . Three of these purchasers , who were broker- dealers , immediately resold an aggregate of approximately $ 330,000 principal ...
20 페이지
... ment.1 A security may be offered legally after filing and before the effective date of the regis- tration statement , provided that any prospec- tus employed for this purpose meets the stand- ards of section 10 of the Act.2 Thus , in ...
... ment.1 A security may be offered legally after filing and before the effective date of the regis- tration statement , provided that any prospec- tus employed for this purpose meets the stand- ards of section 10 of the Act.2 Thus , in ...
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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