Compilation of Releases Dealing with Matters Frequently Arising Under the Securities Act of 1933U.S. Government Printing Office, 1970 - 102페이지 |
도서 본문에서
24개의 결과 중 1 - 5개
9 페이지
... Reference is made to your letter of March 10 , regarding the registration of war- rants under the Securities Act of 1933 . You state that your Company proposes to sell warrants to underwriters in connection with a public offering of ...
... Reference is made to your letter of March 10 , regarding the registration of war- rants under the Securities Act of 1933 . You state that your Company proposes to sell warrants to underwriters in connection with a public offering of ...
10 페이지
... reference to when - issued trading . The opinion follows : In Securities Act Releases Nos . 3000 and 3011 , the opinion was expressed inter alia , that an order of a United States District Court en- forcing a plan under section 11 ( e ) ...
... reference to when - issued trading . The opinion follows : In Securities Act Releases Nos . 3000 and 3011 , the opinion was expressed inter alia , that an order of a United States District Court en- forcing a plan under section 11 ( e ) ...
21 페이지
... reference to any issuer or any security nor to any particular financing . It was sent out , how- ever , bearing the name of the underwriting firm and obviously was designed to awaken an interest which later would be focussed on the ...
... reference to any issuer or any security nor to any particular financing . It was sent out , how- ever , bearing the name of the underwriting firm and obviously was designed to awaken an interest which later would be focussed on the ...
27 페이지
... Reference was also made to the opinion of the United States District Court for the South- ern District of New York in S.E.C. v . Micro- Moisture Controls , Inc. ( Civil No. 116–190 , January 23 , 1957 ) 1 that Rule 133 is not applic ...
... Reference was also made to the opinion of the United States District Court for the South- ern District of New York in S.E.C. v . Micro- Moisture Controls , Inc. ( Civil No. 116–190 , January 23 , 1957 ) 1 that Rule 133 is not applic ...
32 페이지
... reference is made , contains a summary of the staff conclusions and recommendations which form the basis for the proposed rule . Briefly restated , the staff view is that , " For purposes of the provi- sions of sections 2 ( 11 ) , 4 ( 1 ) ...
... reference is made , contains a summary of the staff conclusions and recommendations which form the basis for the proposed rule . Briefly restated , the staff view is that , " For purposes of the provi- sions of sections 2 ( 11 ) , 4 ( 1 ) ...
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자주 나오는 단어 및 구문
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