Compilation of Releases Dealing with Matters Frequently Arising Under the Securities Act of 1933U.S. Government Printing Office, 1970 - 102페이지 |
도서 본문에서
39개의 결과 중 1 - 5개
5 페이지
... period or longer or shorter period under certain circum- stances . essary for the protection of investors . On the other hand , your letter calls attention to the fact that section 3 ( a ) ( 1 ) , the exemption of which is predicated ...
... period or longer or shorter period under certain circum- stances . essary for the protection of investors . On the other hand , your letter calls attention to the fact that section 3 ( a ) ( 1 ) , the exemption of which is predicated ...
9 페이지
... period of 3 years . The exercise price of the warrants may or may not be the same as the offering price of the stock to the general public . For tax reasons , none of the warrants or stock subject thereto will be re- offered to the ...
... period of 3 years . The exercise price of the warrants may or may not be the same as the offering price of the stock to the general public . For tax reasons , none of the warrants or stock subject thereto will be re- offered to the ...
15 페이지
... period June 29 - July 6 , 1955 , when the terms of the financing , including establish- ing the conversion rate of $ 5 per share , were being negotiated , quotations for the common stock in the over - the - counter market ranged from 5 ...
... period June 29 - July 6 , 1955 , when the terms of the financing , including establish- ing the conversion rate of $ 5 per share , were being negotiated , quotations for the common stock in the over - the - counter market ranged from 5 ...
16 페이지
... period immediately preced- ing the May and June transactions , the com- pany had published or distributed a number of releases which claimed favorable plans and prospects with respect to the business . Counsel for Elliott & Company and ...
... period immediately preced- ing the May and June transactions , the com- pany had published or distributed a number of releases which claimed favorable plans and prospects with respect to the business . Counsel for Elliott & Company and ...
18 페이지
... period be- tween the listing of the common stock in October 1955 , and the sale of the second block of debentures in May and June of 1956 , should have been recognized as destroying the validity of any claim that a public offering was ...
... period be- tween the listing of the common stock in October 1955 , and the sale of the second block of debentures in May and June of 1956 , should have been recognized as destroying the validity of any claim that a public offering was ...
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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