Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexDivision of the Federal Register, the National Archives, 1978 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 404
... issuer that it proposes to make a public of- fering of securities to be registered under the Act shall not be deemed to offer any securities for sale if such notice states that the offering will be made only by means of a prospectus and ...
... issuer that it proposes to make a public of- fering of securities to be registered under the Act shall not be deemed to offer any securities for sale if such notice states that the offering will be made only by means of a prospectus and ...
Página 406
... issuer which is required to file re- ports pursuant to section 13 or 15 ( d ) of the Securities Exchange Act of 1934 and has filed or proposes to file a reg- istration statement under the Securi- ties Act of 1933 if- ( a ) Such ...
... issuer which is required to file re- ports pursuant to section 13 or 15 ( d ) of the Securities Exchange Act of 1934 and has filed or proposes to file a reg- istration statement under the Securi- ties Act of 1933 if- ( a ) Such ...
Página 409
... issuer with a view to , or offers or sells for an issuer in connection with , the distribution of any security , or participates , or has a direct or indirect participation in any such undertak- ing , or participates or has a ...
... issuer with a view to , or offers or sells for an issuer in connection with , the distribution of any security , or participates , or has a direct or indirect participation in any such undertak- ing , or participates or has a ...
Página 409
... issuer that it proposes to make a public of- fering of securities to be registered under the Act shall not be deemed to offer any securities for sale if such notice states that the offering will be made only by means of a prospectus and ...
... issuer that it proposes to make a public of- fering of securities to be registered under the Act shall not be deemed to offer any securities for sale if such notice states that the offering will be made only by means of a prospectus and ...
Página 409
... issuer which is required to file re- ports pursuant to section 13 or 15 ( d ) of the Securities Exchange Act of 1934 and has filed or proposes to file a reg- istration statement under the Securi- ties Act of 1933 if- ( a ) Such ...
... issuer which is required to file re- ports pursuant to section 13 or 15 ( d ) of the Securities Exchange Act of 1934 and has filed or proposes to file a reg- istration statement under the Securi- ties Act of 1933 if- ( a ) Such ...
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Términos y frases comunes
48 Stat Administrative Law Judge affiliates aggregate amended amount application appropriate assets authority balance sheet broker or dealer caption certificate chapter cluding Column Commis Commission's commodity Commodity Exchange Act contract market copies corporation curities deemed Director disclosure dividends documents effective date employee erwise exemption fees filed financial statements funds furnished futures commission merchant included income statement initial decision interest investment adviser issue issuer matter ment mission national securities exchange notice notification offering sheet option otherwise paragraph party percent period person prior proceeding prospectus purchase purposes pursuant to section quired record regis registration statement Regulation relating request respect rities schedule secu Securities Act Securities Exchange Act service of process shares sion specified suant Subpart subpoena subsidiaries term thereof thereto tion trading transactions trust underwriter unless