Compilation of Releases Dealing with Matters Frequently Arising Under the Securities Act of 1933U.S. Government Printing Office, 1970 - 102 páginas |
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Página 24
... items within the scope of the statute . The Food Industry also suggests that trading stamps could be used as a method of corporate financing and thereby become subject to the Act . With respect to the established trading stamp companies ...
... items within the scope of the statute . The Food Industry also suggests that trading stamps could be used as a method of corporate financing and thereby become subject to the Act . With respect to the established trading stamp companies ...
Página 40
... items covered by the release are composed of assets easily convertible into cash and are comparable to liquid inventories of an industrial or mercantile company . What is a current transaction is , of course , a ques- tion which must be ...
... items covered by the release are composed of assets easily convertible into cash and are comparable to liquid inventories of an industrial or mercantile company . What is a current transaction is , of course , a ques- tion which must be ...
Página 57
... items contained in the appendix are permissible un- der Rule 134 as presently in effect , it may be appropriate to clarify briefly our interpretation of the scope of tombstone advertising as ap- plied to your examples . The policy ...
... items contained in the appendix are permissible un- der Rule 134 as presently in effect , it may be appropriate to clarify briefly our interpretation of the scope of tombstone advertising as ap- plied to your examples . The policy ...
Página 64
... Item 11 , Principal Holders of Securities , Form 10 under the Exchange Act ; Item 15 , Twenty Largest Holders of Capital Stock , Form U5B under the Public Utility Act of 1935 ; Item 14 ( b ) , Persons Owning Equity Secu- rities of ...
... Item 11 , Principal Holders of Securities , Form 10 under the Exchange Act ; Item 15 , Twenty Largest Holders of Capital Stock , Form U5B under the Public Utility Act of 1935 ; Item 14 ( b ) , Persons Owning Equity Secu- rities of ...
Página 77
... securities sold after such amendment shall have become effective . " ( See also # 17 and # 36 . ) 11. Finders The last sentence of Instruction 1 to Item 77 COMPILATION OF RELEASES UNDER THE SECURITIES ACT OF 1933 Release No. 4936.
... securities sold after such amendment shall have become effective . " ( See also # 17 and # 36 . ) 11. Finders The last sentence of Instruction 1 to Item 77 COMPILATION OF RELEASES UNDER THE SECURITIES ACT OF 1933 Release No. 4936.
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Términos y frases comunes
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
Pasajes populares
Página 4 - 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.
Página 100 - 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.
Página 31 - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
Página 95 - 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...
Página 8 - ... in exchange for one or more bona fide outstanding securities, claims or property interests, or partly in such exchange and partly for cash...
Página 99 - Securities and Exchange Commission pursuant to section 13 or 15 (d) of the Securities Exchange Act of 1934...
Página 54 - Is available, and must comply with the anti-fraud provisions of the Securities Act and the Securities Exchange Act and the regulations thereunder.
Página 19 - 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...
Página 59 - 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...
Página 13 - ... 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