General Rules and Regulations Under the Securities Act of 1933Securities and Exchange Commission, 1963 |
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Página 1
... officer , or employee of the Commission , unless the Com- mission authorizes the disclosure of such infor- mation or the production of such documents as not being contrary to the public interest . Any officer or employee who is served ...
... officer , or employee of the Commission , unless the Com- mission authorizes the disclosure of such infor- mation or the production of such documents as not being contrary to the public interest . Any officer or employee who is served ...
Página 6
... officers , directors , trustees , branch managers , or other persons occupying a similar status or performing similar functions , or ( C ) Has a participation , direct or indirect , in the profits of the other , or has a financial stake ...
... officers , directors , trustees , branch managers , or other persons occupying a similar status or performing similar functions , or ( C ) Has a participation , direct or indirect , in the profits of the other , or has a financial stake ...
Página 17
... officers or principal security hold- ers , any of its promoters presently connected with it in any capacity , any underwriter of the securi- ties to be offered , or any partner , director or officer of any such underwriter- ( 1 ) has ...
... officers or principal security hold- ers , any of its promoters presently connected with it in any capacity , any underwriter of the securi- ties to be offered , or any partner , director or officer of any such underwriter- ( 1 ) has ...
Página 18
... officer or partner of any such underwriter was , or was named as , an underwriter of any securities- ( 1 ) covered by any registration statement which is the subject of any proceeding or examina- tion under section 8 of the Act , or is ...
... officer or partner of any such underwriter was , or was named as , an underwriter of any securities- ( 1 ) covered by any registration statement which is the subject of any proceeding or examina- tion under section 8 of the Act , or is ...
Página 20
... officer of the issuer signs on behalf of the issuer . ( c ) The notification shall be filed with the Re- gional Office for the region in which the issuer's principal business operations are conducted or proposed to be conducted in the ...
... officer of the issuer signs on behalf of the issuer . ( c ) The notification shall be filed with the Re- gional Office for the region in which the issuer's principal business operations are conducted or proposed to be conducted in 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...