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 iii
... Rules and Regulations thereunder and with the Decisions and Reports of the Commission . Opinions relating to accounting principles are contained in the Accounting Series Releases . These are specifically referred to in Regulation S - X ...
... Rules and Regulations thereunder and with the Decisions and Reports of the Commission . Opinions relating to accounting principles are contained in the Accounting Series Releases . These are specifically referred to in Regulation S - X ...
Página v
... Rule 133 - Mergers ) - 4248 ( Section 5 - Rule 155 - Convertible securities ) . 4298 ( Section 5 - Real estate investment trust ) .. 4412 ( Section 3 ( a ) ( 3 ) —Short - term paper ) ----- 4434 ( Section 3 ( a ) ( 11 ) —Intrastate ...
... Rule 133 - Mergers ) - 4248 ( Section 5 - Rule 155 - Convertible securities ) . 4298 ( Section 5 - Real estate investment trust ) .. 4412 ( Section 3 ( a ) ( 3 ) —Short - term paper ) ----- 4434 ( Section 3 ( a ) ( 11 ) —Intrastate ...
Página vii
... Rule 134 .. Rule 154 . Rule 155 --- Rule 421 ( c ) -- Section 2 ( 1 ) .. 56 , 88 11 , 60 31 , 46 24 , 48 101 Section 2 ( 3 ) - 53 , 59 Section 2 ( 10 ) ( b ) - 56 , 88 Section 3 ( a ) ( 2 ) . 69 Section 3 ( a ) ( 3 ) . 2 , 39 Section 3 ...
... Rule 134 .. Rule 154 . Rule 155 --- Rule 421 ( c ) -- Section 2 ( 1 ) .. 56 , 88 11 , 60 31 , 46 24 , 48 101 Section 2 ( 3 ) - 53 , 59 Section 2 ( 10 ) ( b ) - 56 , 88 Section 3 ( a ) ( 2 ) . 69 Section 3 ( a ) ( 3 ) . 2 , 39 Section 3 ...
Página 7
... Rule 12a - 5 under the Securi- ties Exchange Act of 1934 . the Commission's Regulation X - 12D3 under the Securities Exchange Act of 1934. Under that Act and regulation registration of a security for when - issued trading on an exchange ...
... Rule 12a - 5 under the Securi- ties Exchange Act of 1934 . the Commission's Regulation X - 12D3 under the Securities Exchange Act of 1934. Under that Act and regulation registration of a security for when - issued trading on an exchange ...
Página 11
... Rule X - 10B - 5 there- under , section 15 ( c ) ( 1 ) of that Act and Rule X - 15C1-2 thereunder in the case of a broker or dealer effecting a transaction over the coun- ter , and section 206 of the Investment Advisers Act of 1940 in ...
... Rule X - 10B - 5 there- under , section 15 ( c ) ( 1 ) of that Act and Rule X - 15C1-2 thereunder in the case of a broker or dealer effecting a transaction over the coun- ter , and section 206 of the Investment Advisers Act of 1940 in ...
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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