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 4
... person directly or indirectly controlling or controlled by the issuer , or any person under direct or in- direct common control with the issuer . This sentence , by defining an underwriter to include a person purchasing from one in a ...
... person directly or indirectly controlling or controlled by the issuer , or any person under direct or in- direct common control with the issuer . This sentence , by defining an underwriter to include a person purchasing from one in a ...
Página 12
... person but involves also a determination whether such controlling person , to the actual or constructive knowledge ... control- ling , controlled by , or under common control with the issuer where the broker performs no more than the ...
... person but involves also a determination whether such controlling person , to the actual or constructive knowledge ... control- ling , controlled by , or under common control with the issuer where the broker performs no more than the ...
Página 13
... person controlling , con- trolled by , or under common control with , the issuer of the securities which are the subject of the transactions where- ( 1 ) the broker performs no more than the usual and customary broker's function , ( 2 ) ...
... person controlling , con- trolled by , or under common control with , the issuer of the securities which are the subject of the transactions where- ( 1 ) the broker performs no more than the usual and customary broker's function , ( 2 ) ...
Página 18
... control over the scope of the offering while affording every opportunity and ... persons giving the so - called " investment representa- tion " in this case ... person giving the representation intended . Such bare representations that ...
... control over the scope of the offering while affording every opportunity and ... persons giving the so - called " investment representa- tion " in this case ... person giving the representation intended . Such bare representations that ...
Página 27
... person who controlled , was controlled by , or was under common control with such constituent corporation and who ac- quired securities in a Rule 133 transaction with a view to the distribution thereof . Exclude from the term ...
... person who controlled , was controlled by , or was under common control with such constituent corporation and who ac- quired securities in a Rule 133 transaction with a view to the distribution thereof . Exclude from the term ...
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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