General Rules and Regulations Under the Securities Act of 1933Securities and Exchange Commission, 1963 |
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Página vi
... tracts .. 22228 29 29 ARTICLE 5. SUSPENSION ORDERS AND THEIR EFFECT 340 342 Suspension orders ... 30 Effect of suspension order . 31 ARTICLE 6. WITHDRAWAL , AMENDMENT , AND TERMINATION OF OFFERING SHEETS 350 Withdrawal of offering sheet ...
... tracts .. 22228 29 29 ARTICLE 5. SUSPENSION ORDERS AND THEIR EFFECT 340 342 Suspension orders ... 30 Effect of suspension order . 31 ARTICLE 6. WITHDRAWAL , AMENDMENT , AND TERMINATION OF OFFERING SHEETS 350 Withdrawal of offering sheet ...
Página 2
... tract or arrangement , made in connection with any transaction specified in paragraph ( a ) , with the issuer or with any affiliate of the issuer , or with any person who in connection with such transaction is acting as an underwriter ...
... tract or arrangement , made in connection with any transaction specified in paragraph ( a ) , with the issuer or with any affiliate of the issuer , or with any person who in connection with such transaction is acting as an underwriter ...
Página 6
... tract with the issuer nor directly or indirectly controlling , controlled by , or under common con- trol with , the issuer , and ( 2 ) who has no associa- tion with any principal underwriter of the se- curities being distributed , and ...
... tract with the issuer nor directly or indirectly controlling , controlled by , or under common con- trol with , the issuer , and ( 2 ) who has no associa- tion with any principal underwriter of the se- curities being distributed , and ...
Página 25
... tract , which are limited in duration to the terms of an existing lease and which are not subject to any portion of the expense of develop- ment , operation , or maintenance . ( d ) The term " working interests " means frac- tional ...
... tract , which are limited in duration to the terms of an existing lease and which are not subject to any portion of the expense of develop- ment , operation , or maintenance . ( d ) The term " working interests " means frac- tional ...
Página 26
... tract or tracts involved equal to whichever of the following amounts is greater : ( i ) 20 percent of the total production from such tract or tracts of all oil , gas or other hydrocarbon substances , or ( ii ) the total percent- age of ...
... tract or tracts involved equal to whichever of the following amounts is greater : ( i ) 20 percent of the total production from such tract or tracts of all oil , gas or other hydrocarbon substances , or ( ii ) the total percent- age of ...
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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...