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 20
... purpose of the law . Others have reflected an unawareness of the problems involved or a failure to exercise a proper control over research and public rela- tions activities 20 Release No. 3844 SECURITIES AND EXCHANGE COMMISSION.
... purpose of the law . Others have reflected an unawareness of the problems involved or a failure to exercise a proper control over research and public rela- tions activities 20 Release No. 3844 SECURITIES AND EXCHANGE COMMISSION.
Página 21
... activities in relation to the distribution of an issue of securities . EXAMPLE No. 1 An underwriter - promoter is engaged in arranging for the public financing of a mining venture to explore for a mineral which has cer- tain possible ...
... activities in relation to the distribution of an issue of securities . EXAMPLE No. 1 An underwriter - promoter is engaged in arranging for the public financing of a mining venture to explore for a mineral which has cer- tain possible ...
Página 22
... activities of the underwriter justified denial of acceleration of the effective date of the registration statement pending a circulation of the prospectus co - ex- tensive with the distribution of the brochure . EXAMPLE No. 5 ...
... activities of the underwriter justified denial of acceleration of the effective date of the registration statement pending a circulation of the prospectus co - ex- tensive with the distribution of the brochure . EXAMPLE No. 5 ...
Página 29
... activities . commence making a market in such securities at or immediately after the start of the public offering . Some of these firms sell their allot- ments at prices substantially in excess of the public offering prices stated in ...
... activities . commence making a market in such securities at or immediately after the start of the public offering . Some of these firms sell their allot- ments at prices substantially in excess of the public offering prices stated in ...
Página 30
... activities of the trading firms described above constitute part of the distribu- tion process and are of such a nature as to make them " underwriters " within the mean- ing of section 2 ( 11 ) of the Securities Act of 1933. The failure ...
... activities of the trading firms described above constitute part of the distribu- tion process and are of such a nature as to make them " underwriters " within the mean- ing of section 2 ( 11 ) of the Securities Act of 1933. The failure ...
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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