General Rules and Regulations Under the Securities Act of 1933U.S. Government Printing Office, 1963 |
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Página iii
... NOTICE Individuals or firms REGISTERED under the Securities Act of 1933 will receive all proposed or adopted rule changes promulgated under this Act -- which affects their registration . Others who wish to receive all adopted changes ...
... NOTICE Individuals or firms REGISTERED under the Securities Act of 1933 will receive all proposed or adopted rule changes promulgated under this Act -- which affects their registration . Others who wish to receive all adopted changes ...
Página v
... Notice of certain proposed offerings .. 136 Definition of certain terms in relation to assessable stock . 140 Definition of " distribution " in section 2 ( 11 ) , for certain transactions . 223455 141 142 Definition of " commission from ...
... Notice of certain proposed offerings .. 136 Definition of certain terms in relation to assessable stock . 140 Definition of " distribution " in section 2 ( 11 ) , for certain transactions . 223455 141 142 Definition of " commission from ...
Página vi
... Notice of delayed or suspended offering and sale REGULATION B EXEMPTIONS RELATING TO FRACTIONAL UNDIVIDED INTERESTS IN OIL OR GAS RIGHTS ARTICLE 1. DEFINITIONS 300 Definitions of terms used in regulation B .. Page 16 17 18 19 19 20 21 ...
... Notice of delayed or suspended offering and sale REGULATION B EXEMPTIONS RELATING TO FRACTIONAL UNDIVIDED INTERESTS IN OIL OR GAS RIGHTS ARTICLE 1. DEFINITIONS 300 Definitions of terms used in regulation B .. Page 16 17 18 19 19 20 21 ...
Página viii
... Notice of delayed or suspended offering and sale of securities___ Page 46 46 46 48 48 ARTICLE 6. AMENDMENTS WITHDRAWALS 470 Formal requirements for amendments ...... . 49 471 Signatures to amendments______ 49 472 473 Filing of amendment ...
... Notice of delayed or suspended offering and sale of securities___ Page 46 46 46 48 48 ARTICLE 6. AMENDMENTS WITHDRAWALS 470 Formal requirements for amendments ...... . 49 471 Signatures to amendments______ 49 472 473 Filing of amendment ...
Página 1
... notices and communications from the Commission . ( b ) Unless otherwise specifically provided , the terms used in the rules and regulations shall have the meanings defined in the Act . ( c ) A rule in the General Rules and Regula- tions ...
... notices and communications from the Commission . ( b ) Unless otherwise specifically provided , the terms used in the rules and regulations shall have the meanings defined in the Act . ( c ) A rule in the General Rules and Regula- tions ...
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Términos y frases comunes
aggregate offering price amendment American Depositary Receipts assessable stock become effective behalf broker or dealer cation certificates certificates of deposit connection consent and power contained convertible security corporation curities deemed to include director distribution document effective date enter an order Exchange Commission exemption financial statements form of prospectus furnished investment adviser istered jurisdiction managing agent means ment nonresident notice notification number of copies offer to sell offered at competitive offered hereunder offering circular offering sheet offeror Offers or sales officer oil or gas omitted period pleadings power of attorney public offering regis registration statement required by Rule roman type rules and regulations Schedule section 2 11 Securities Act Securities and Exchange Securities Exchange Act securities offered security holders service of process sold solicitation specified in paragraph spectus suant subsidiary summary prospectus term therein thereto 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...