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 15
... operations for the first 6 months of 1955 showed a profit , and that management was be- ing reorganized . This release was no doubt a factor in the subsequent rise in the market price of the common stock into which the de- bentures were ...
... operations for the first 6 months of 1955 showed a profit , and that management was be- ing reorganized . This release was no doubt a factor in the subsequent rise in the market price of the common stock into which the de- bentures were ...
Página 21
... operations for the first quarter of the fiscal year . The pros- pective underwriter incorporated this material in a brochure containing other information concerning the issuer and its prospects and dis- tributed the brochure widely ...
... operations for the first quarter of the fiscal year . The pros- pective underwriter incorporated this material in a brochure containing other information concerning the issuer and its prospects and dis- tributed the brochure widely ...
Página 22
... operations and a current position much less favorable than suggested by the first quarter figures shown in the brochure . In the view of the Commission the distribu- tion of the brochure violated section 5 of the Act and in addition ...
... operations and a current position much less favorable than suggested by the first quarter figures shown in the brochure . In the view of the Commission the distribu- tion of the brochure violated section 5 of the Act and in addition ...
Página 23
... operations and expansion program , its sales and earnings . The speech contained a forecast of sales and referred to the issuer's proposal to file with the Commission later in the month a registration statement with respect to a ...
... operations and expansion program , its sales and earnings . The speech contained a forecast of sales and referred to the issuer's proposal to file with the Commission later in the month a registration statement with respect to a ...
Página 28
... operation of the procedural pro- visions of sections 4 and 5 , the civil liabilities for failure to comply with such procedures , and the operation of certain of the statutory ex- emptions from section 5 , that Rule 133 rep- resents a ...
... operation of the procedural pro- visions of sections 4 and 5 , the civil liabilities for failure to comply with such procedures , and the operation of certain of the statutory ex- emptions from section 5 , that Rule 133 rep- resents a ...
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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