Compilation of Releases Dealing with Matters Frequently Arising Under the Securities Act of 1933U.S. Government Printing Office, 1970 - 102ÆäÀÌÁö |
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2 ÆäÀÌÁö
... months , exclusive of days of grace , or any renewal thereof the maturity of which is like- wise limited . " The question of what is a " current transac- tion " is one which must be considered in the light of the particular facts and ...
... months , exclusive of days of grace , or any renewal thereof the maturity of which is like- wise limited . " The question of what is a " current transac- tion " is one which must be considered in the light of the particular facts and ...
9 ÆäÀÌÁö
... months after the effective date of the registra- tion statement . You inquire whether , in the light of the foregoing facts , either the war- rants or the stock subject thereto may be reg- istered at the same time as the stock which is ...
... months after the effective date of the registra- tion statement . You inquire whether , in the light of the foregoing facts , either the war- rants or the stock subject thereto may be reg- istered at the same time as the stock which is ...
12 ÆäÀÌÁö
... months will not exceed approx- imately 1 percent of the outstanding shares or units of the security in the case of a security which is traded only otherwise than on a secu- rities exchange and , with respect to a security which is ...
... months will not exceed approx- imately 1 percent of the outstanding shares or units of the security in the case of a security which is traded only otherwise than on a secu- rities exchange and , with respect to a security which is ...
13 ÆäÀÌÁö
... months , will not exceed the following : ( 1 ) if the security is traded only otherwise than on a securities exchange , approximately 1 percent of the shares or units of such secu- rity outstanding at the time of receipt by the broker ...
... months , will not exceed the following : ( 1 ) if the security is traded only otherwise than on a securities exchange , approximately 1 percent of the shares or units of such secu- rity outstanding at the time of receipt by the broker ...
14 ÆäÀÌÁö
... months of 1955 , a small operating profit was reported although the magazine portion of the business suffered a loss of approximately $ 1 million . It had been apparent throughout these pe- riods that additional equity capital was re ...
... months of 1955 , a small operating profit was reported although the magazine portion of the business suffered a loss of approximately $ 1 million . It had been apparent throughout these pe- riods that additional equity capital was re ...
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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
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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