Compilation of Releases Dealing with Matters Frequently Arising Under the Securities Act of 1933U.S. Government Printing Office, 1970 - 102페이지 |
도서 본문에서
23개의 결과 중 1 - 5개
15 페이지
... participants in their commitments or had secured purchasers of portions of their commitments . It is not known how many offerees may have been approached by these 27 persons or firms . The record of the investigation shows that the ...
... participants in their commitments or had secured purchasers of portions of their commitments . It is not known how many offerees may have been approached by these 27 persons or firms . The record of the investigation shows that the ...
17 페이지
... participation among others or re- selling a portion of a commitment to others is worthless . Issuers , underwriters or counsel can- not claim that a transaction does not involve a public offering if they do not know the identity and ...
... participation among others or re- selling a portion of a commitment to others is worthless . Issuers , underwriters or counsel can- not claim that a transaction does not involve a public offering if they do not know the identity and ...
22 페이지
... participation of the firm in the dis- tribution of the securities would pose difficul- ties from the point of view ... participate in the distribution . EXAMPLE No. 6 In recognition of the problems presented , the Commission's staff ...
... participation of the firm in the dis- tribution of the securities would pose difficul- ties from the point of view ... participate in the distribution . EXAMPLE No. 6 In recognition of the problems presented , the Commission's staff ...
24 페이지
... participation in , tempo- rary or interim certificate for ... or warrant or right to subscribe to or purchase " a security . SECURITIES ACT OF 1933 Questions are presented to the Securities and Exchange Commission from time to time as ...
... participation in , tempo- rary or interim certificate for ... or warrant or right to subscribe to or purchase " a security . SECURITIES ACT OF 1933 Questions are presented to the Securities and Exchange Commission from time to time as ...
28 페이지
... participation by the issuer in resales by them should require registration by the issuer . Rules embodying these distinctions should also make appropriate provision for what are essentially trading trans- actions by security holders ...
... participation by the issuer in resales by them should require registration by the issuer . Rules embodying these distinctions should also make appropriate provision for what are essentially trading trans- actions by security holders ...
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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