Compilation of Releases Dealing with Matters Frequently Arising Under the Securities Act of 1933

¾ÕÇ¥Áö
U.S. Government Printing Office, 1970 - 102ÆäÀÌÁö

µµ¼­ º»¹®¿¡¼­

¼±ÅÃµÈ ÆäÀÌÁö

¸ñÂ÷

±âŸ ÃâÆǺ» - ¸ðµÎ º¸±â

ÀÚÁÖ ³ª¿À´Â ´Ü¾î ¹× ±¸¹®

Àαâ Àο뱸

4 ÆäÀÌÁö - 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 ÆäÀÌÁö - 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 ÆäÀÌÁö - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
95 ÆäÀÌÁö - 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 ÆäÀÌÁö - ... in exchange for one or more bona fide outstanding securities, claims or property interests, or partly in such exchange and partly for cash...
99 ÆäÀÌÁö - Securities and Exchange Commission pursuant to section 13 or 15 (d) of the Securities Exchange Act of 1934...
54 ÆäÀÌÁö - Is available, and must comply with the anti-fraud provisions of the Securities Act and the Securities Exchange Act and the regulations thereunder.
19 ÆäÀÌÁö - 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 ÆäÀÌÁö - 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 ÆäÀÌÁö - ... 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

µµ¼­ ¹®ÇåÁ¤º¸