Compilation of Releases Dealing with Matters Frequently Arising Under the Securities Act of 1933U.S. Government Printing Office, 1970 - 102ÆäÀÌÁö |
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... rities originally issued in a transaction exempt under section 4 ( 3 ) were exempt , even though such dealers ' transactions were effected within a year of the first offering of such securities . That the purpose of the amendment chang ...
... rities originally issued in a transaction exempt under section 4 ( 3 ) were exempt , even though such dealers ' transactions were effected within a year of the first offering of such securities . That the purpose of the amendment chang ...
6 ÆäÀÌÁö
... rities Act of 1933 , as amended , do not require that the prescribed prospectus must have been sent by the same person who causes the securi- ties to be sent through the mails for the pur- pose of sale , or for delivery after sale ...
... rities Act of 1933 , as amended , do not require that the prescribed prospectus must have been sent by the same person who causes the securi- ties to be sent through the mails for the pur- pose of sale , or for delivery after sale ...
7 ÆäÀÌÁö
... rities Act of 1933 and section 306 of the Trust Indenture Act of 1939. The opinion pointed out also that there could be no when - issued trading in the new debentures until not only confirma- tion of a plan but also qualification of an ...
... rities Act of 1933 and section 306 of the Trust Indenture Act of 1939. The opinion pointed out also that there could be no when - issued trading in the new debentures until not only confirma- tion of a plan but also qualification of an ...
10 ÆäÀÌÁö
... rities , claims or property interests , or partly in such exchange and partly for cash ; that upon SECURITIES ACT OF 1933 the entry of such an order brokers or dealers may legally sell such securities on a when- issued basis ; and that ...
... rities , claims or property interests , or partly in such exchange and partly for cash ; that upon SECURITIES ACT OF 1933 the entry of such an order brokers or dealers may legally sell such securities on a when- issued basis ; and that ...
12 ÆäÀÌÁö
... rities exchange and , with respect to a security which is admitted to trading on a securities exchange , the lesser of either 1 percent of the outstanding securities of the class or the ag- gregate reported volume of trading during any ...
... rities exchange and , with respect to a security which is admitted to trading on a securities exchange , the lesser of either 1 percent of the outstanding securities of the class or the ag- gregate reported volume of trading during any ...
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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