Compilation of Releases Dealing with Matters Frequently Arising Under the Securities Act of 1933U.S. Government Printing Office, 1970 - 102 páginas |
Dentro del libro
Resultados 1-5 de 31
Página 5
... result is in line with the Commission's interpretation of the act as it stood before , but the amendment removes all doubt as to its cor- rectness . H. R. 1838 , 73d Cong . , 2d Sess . , p . 40 . This language clearly evidences that the ...
... result is in line with the Commission's interpretation of the act as it stood before , but the amendment removes all doubt as to its cor- rectness . H. R. 1838 , 73d Cong . , 2d Sess . , p . 40 . This language clearly evidences that the ...
Página 8
... result of a solicitation of a customer's or- der , sells or offers to sell " when issued " on an agency basis . I might add that in my opinion the taking of an appeal from an ultimate district court order of confirmation would have no ...
... result of a solicitation of a customer's or- der , sells or offers to sell " when issued " on an agency basis . I might add that in my opinion the taking of an appeal from an ultimate district court order of confirmation would have no ...
Página 10
... result , if not the purpose , of such a legend is to create in the mind of the investor a belief that he has given up legal rights and is foreclosed from a remedy which he might otherwise have either at com- mon law or under the ...
... result , if not the purpose , of such a legend is to create in the mind of the investor a belief that he has given up legal rights and is foreclosed from a remedy which he might otherwise have either at com- mon law or under the ...
Página 11
... result of the Commission's decision in the Ira Haupt & Company case ( 23 SEC 589 ( 1946 ) ) , doubt has arisen as to the scope of the exemption provided by section 4 ( 2 ) 1 for brokers ' transactions effected on behalf of con- trolling ...
... result of the Commission's decision in the Ira Haupt & Company case ( 23 SEC 589 ( 1946 ) ) , doubt has arisen as to the scope of the exemption provided by section 4 ( 2 ) 1 for brokers ' transactions effected on behalf of con- trolling ...
Página 16
... result of the foregoing transactions in the debentures and common stock , Crowell- Collier , in the space of 12 months , realized cash proceeds of $ 4,600,000 and effected a wide pub- lic distribution of its debentures and common stock ...
... result of the foregoing transactions in the debentures and common stock , Crowell- Collier , in the space of 12 months , realized cash proceeds of $ 4,600,000 and effected a wide pub- lic distribution of its debentures and common stock ...
Otras ediciones - Ver todas
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