General Rules and Regulations Under the Securities Act of 1933Securities and Exchange Commission, 1963 |
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Página viii
... COMPANIES 601 Definitions of terms used in this regulation 602 Securities exempted ... . 603 Amount of securities exempted ... 604 Filing of notification on Form 1 - E .. 605 Filing and use of the offering circular- 606 Offering not in ...
... COMPANIES 601 Definitions of terms used in this regulation 602 Securities exempted ... . 603 Amount of securities exempted ... 604 Filing of notification on Form 1 - E .. 605 Filing and use of the offering circular- 606 Offering not in ...
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... company reg- istered under the Investment Company Act of 1940 , the company's classification and subclassifi- cation under that Act , whether it is a balanced , specialized , bond , preferred stock or common stock fund and whether in ...
... company reg- istered under the Investment Company Act of 1940 , the company's classification and subclassifi- cation under that Act , whether it is a balanced , specialized , bond , preferred stock or common stock fund and whether in ...
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... companies , or similar in- vestors under the laws of any State or Territory or the District of Columbia ; ( 10 ) Whether , in the opinion of counsel , the se- curity is exempt from specified taxes , or the ex- tent to which the issuer ...
... companies , or similar in- vestors under the laws of any State or Territory or the District of Columbia ; ( 10 ) Whether , in the opinion of counsel , the se- curity is exempt from specified taxes , or the ex- tent to which the issuer ...
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... company , li- censed under the Small Business Investment Act of 1958 , of its capital stock to a small business concern pursuant to the provisions of section 304 ( c ) of such Act , provided that— ( a ) the offer or sale is made only in ...
... company , li- censed under the Small Business Investment Act of 1958 , of its capital stock to a small business concern pursuant to the provisions of section 304 ( c ) of such Act , provided that— ( a ) the offer or sale is made only in ...
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... Company Act of 1940 , the Investment Advisers Act of 1940 , or any rule or regulation under any of said Acts ; and ( 2 ) stipulates and agrees that any such civil suit or action may be commenced by the service of process upon the ...
... Company Act of 1940 , the Investment Advisers Act of 1940 , or any rule or regulation under any of said Acts ; and ( 2 ) stipulates and agrees that any such civil suit or action may be commenced by the service of process upon the ...
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Términos y frases comunes
affiliate aggregate offering price American Depositary Receipts apply become effective behalf broker or dealer cation certificates certificates of deposit Commis competitive bidding connection consent and power convertible security corporation curities date of filing director distribution document effective date enter an order Exchange Commission exemption exhibit financial statements form of prospectus furnished investment adviser issued issuer jurisdiction least as large means ment notice notification number of copies offered at competitive offered hereunder offering circular offering sheet offeror Offers or sales officer oil or gas omitted period power of attorney principal underwriter proposed public offering regis registration statement request required by Rule roman type Schedule Securities Act Securities and Exchange Securities Exchange Act securities offered security holders service of process sold specified in paragraph spectus suant subsidiary summary prospectus term therein thereto tion statement tract transactions tration statement type at least unincorporated United States Securities unless
Pasajes populares
Página 22 - ... by means of a prospectus or oral communication, which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the statements in the light of the circumstances under which they were made, not misleading...
Página 12 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Página 33 - ... the beneficial owner of 10 percent or more of any class of equity securities, (2) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar...
Página 6 - The term commission from an underwriter or dealer in section 2(11) of the Act shall include commissions paid by an underwriter or dealer directly or indirectly controlling or controlled by, or under direct or indirect common control with the issuer. (c) The term usual and customary distributors...
Página 39 - In connection with this offering, the underwriters may over-allot or effect transactions which stabilize or maintain the market price of...
Página 54 - ... from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security...
Página 11 - Secretary shall be taken and held in all Courts to be as valid and binding as if due service had been made upon said applicant in the State of Kentucky.
Página 35 - In the case of shares, the par or stated value, if any; the rate of dividends, if fixed, and whether cumulative or noncumulative; a brief indication of the preference, if any; and if convertible, a statement to that effect.
Página 17 - ... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security...
Página 46 - ... the persons making the offering have taken reasonable steps to make the information contained in the registration statement conveniently available to underwriters and dealers who it is reasonably anticipated will be invited to participate in the distribution of the security to be offered or sold. (b) As a minimum, reasonable steps to make the information conveniently available would involve the distribution, to each underwriter and dealer who it is reasonably anticipated will be invited to participate...