Compilation of Releases Dealing with Matters Frequently Arising Under the Securities Act of 1933Securities and Exchange Commission, 1965 - 70페이지 |
도서 본문에서
13개의 결과 중 1 - 5개
3 페이지
... soliciting the exchange . The published letters point out limitations in- herent in section 3 ( a ) ( 9 ) , and caution that , until judicially construed , this section should not be relied upon to exempt from registration transactions ...
... soliciting the exchange . The published letters point out limitations in- herent in section 3 ( a ) ( 9 ) , and caution that , until judicially construed , this section should not be relied upon to exempt from registration transactions ...
8 페이지
... solicitation of a customer's or- der , sells or offers to sell " when issued " on an agency basis . I might add that in my opinion the taking of an appeal from an ultimate district court order of confirmation would have no effect upon ...
... solicitation of a customer's or- der , sells or offers to sell " when issued " on an agency basis . I might add that in my opinion the taking of an appeal from an ultimate district court order of confirmation would have no effect upon ...
11 페이지
... solicitation of such orders . PURPOSE OF AMENDMENT As a result of the Commission's decision in the Ira Haupt & Company case ( 23 SEC 589 ( 1946 ) ) , doubt has arisen as to the scope of the exemption provided by section 4 ( 2 ) 1 for ...
... solicitation of such orders . PURPOSE OF AMENDMENT As a result of the Commission's decision in the Ira Haupt & Company case ( 23 SEC 589 ( 1946 ) ) , doubt has arisen as to the scope of the exemption provided by section 4 ( 2 ) 1 for ...
13 페이지
... solicitation of orders to buy in anticipation of or in connection with such transactions , and ( 4 ) the broker is ... solicitation of such orders " in section 4 ( 2 ) 1 of the Act shall be deemed to include the solicitation of an order ...
... solicitation of orders to buy in anticipation of or in connection with such transactions , and ( 4 ) the broker is ... solicitation of such orders " in section 4 ( 2 ) 1 of the Act shall be deemed to include the solicitation of an order ...
17 페이지
... other remuneration is paid or given directly or indirectly for soliciting such exchange . " as one inviting transactions which would result in violations of COMPILATION OF RELEASES UNDER THE SECURITIES ACT OF 1933 17.
... other remuneration is paid or given directly or indirectly for soliciting such exchange . " as one inviting transactions which would result in violations of COMPILATION OF RELEASES UNDER THE SECURITIES ACT OF 1933 17.
기타 출판본 - 모두 보기
자주 나오는 단어 및 구문
amended Aug application August 20 behalf circumstances civil liabilities clause of section common stock control person convertible security Corporation Counsel court Crowell-Collier Crowell-Collier Publishing Company curities debentures deed of trust disclosures distribution effective date Elliott & Company Exchange Commission exemption from registration exemption under section fact Federal filing financial statements Form S-1 fund interstate commerce Investment Company investment contract investors involving any public issuance mails ment mutual funds opinion options prior proposed rule prospectus provisions prospectus requirements provisions of section purchase pursuant question Ralston Purina regis registration and prospectus registration requirements registration statement requirements of section resale respect rities S.D. Cal section 3(a secu Securities Act Release Securities and Exchange Securities Exchange Act security holders sold solicitation spectus staff statute statutory stockholders suant substantial supra note trading trading stamp tration Trust Indenture Act underlying security underwriter violations warrants