 | United States. Securities and Exchange Commission - 1952 - 968 páginas
...Regulation A, exempting small issues of securities from the registration requirements of the Securities Act, may be filed with the regional office of the Commission...inspection at the particular regional office where filed. PtBLIC HEARINGS The following public hearings were held by the Commission under the Acts indicated... | |
 | United States. Securities and Exchange Commission - 1960 - 326 páginas
...making an offering not in excess of $50,000, an offering circular need not be used. A notification is filed with the regional office of the Commission for the region in which the company has its principal place of business. During the 1960 fiscal year, 1049 notifications were filed... | |
 | United States. Securities and Exchange Commission - 1963 - 100 páginas
...date on which the initial offering of any securities is to be made under this regulation, there shall be filed with the Regional Office of the Commission for the region in which the issuer conducts its principal business operations four copies of a notification on Form 1-F containing... | |
 | United States. Securities and Exchange Commission - 1952 - 146 páginas
...of each other. The report shall be filed in duGENERAL RULES AND REGULATIONS — 1934 ACT 115 plicate with the Regional Office of the Commission for the region in which the member, broker, or dealer has his principal place of business. (&) Nature and form of reports. —... | |
 | United States. Securities and Exchange Commission - 1953 - 734 páginas
...shall not be died within less than four months of each other. The report shall be filed In duplicate with the Regional Office of the Commission for the region In which the member, broker, or dealer has his principal place of business. Section 15 (b) provides : The Commission... | |
 | United States. Congress. Economic Report Joint Committee - 1949 - 332 páginas
...days (Sundays and holidays excluded) prior to any public offering of securities under the regulation, with the regional office of the Commission for the...the issuer's principal place of business is located. Form S— 3b-l may be used in supplying the information required to be set forth in the letter of notification.... | |
 | 1980 - 680 páginas
...10 days (Saturdays, Sundays, and holidays excluded) prior to the sale of the securities there shall be filed with the Regional Office of the Commission for the region in which the issuer's principal business operations are conducted three copies of a notice on Form 237 (§ 239.145 of this chapter)... | |
 | 1978 - 1252 páginas
...the close of the first month in which a sale in reliance on this rule is made, the issuer shall file with the Regional Office of the Commission for the region in which the issuer's principal business operations are conducted three copies of a notice on Form 240 which shall be signed by a duly... | |
 | 1984 - 684 páginas
...transfer agent for which the Commission is the appropriate regulatory agency, an additional copy shall be filed with the Regional Office of the Commission for the region in which the registered transfer agent has its principal office for transfer agent activities. (2) Any notice required... | |
 | 1988 - 806 páginas
...transfer agent for which the Commission is the appropriate regulatory agency, an additional copy shall be filed with the Regional Office of the Commission for the region in which the registered transfer agent has its principal office for transfer agent activities. (2) Any notice required... | |
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... there shall be filed with the Regional Office of the Commission for the region in which the issuer... 
