Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., Volume 4 |
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Page 4
... issuer or of another person , right cannot be exercised until some future date , shall deemed to be an offer or sale of such other security ; but ue or transfer of such other security upon the exercise right of conversion or ...
... issuer or of another person , right cannot be exercised until some future date , shall deemed to be an offer or sale of such other security ; but ue or transfer of such other security upon the exercise right of conversion or ...
Page 5
... issuer ” shall i addition to an issuer , any person directly or indirectl ling or controlled by the issuer , or any person under indirect common control with the issuer . ( 12 ) The term " dealer " means any person who en ther for all ...
... issuer ” shall i addition to an issuer , any person directly or indirectl ling or controlled by the issuer , or any person under indirect common control with the issuer . ( 12 ) The term " dealer " means any person who en ther for all ...
Page 10
... issuer , under- dealer . nsactions by an issuer not involving any public offer- nsactions by a dealer ( including an underwriter no ng as an underwriter in respect of the security in- uch transaction ) , except- O transactions taking ...
... issuer , under- dealer . nsactions by an issuer not involving any public offer- nsactions by a dealer ( including an underwriter no ng as an underwriter in respect of the security in- uch transaction ) , except- O transactions taking ...
Page 12
... issuer files such notice with ission as the Commission shall prescribe . RELATING TO INTERSTATE COMMERCE AND THE ... issuers mation or sure fully 1 But see sec 2 For additic □ in ing with LS ect in- or- ༣ བྦཾ ཨཔསཅས་པཅ་ ALL COULD, ...
... issuer files such notice with ission as the Commission shall prescribe . RELATING TO INTERSTATE COMMERCE AND THE ... issuers mation or sure fully 1 But see sec 2 For additic □ in ing with LS ect in- or- ༣ བྦཾ ཨཔསཅས་པཅ་ ALL COULD, ...
Page 14
... issuer that is a blank ny . Such rules may , as the Commission determines appropriate in the public interest or for the protection equire such issuers to provide timely disclosure , prior er such statement becomes effective under ...
... issuer that is a blank ny . Such rules may , as the Commission determines appropriate in the public interest or for the protection equire such issuers to provide timely disclosure , prior er such statement becomes effective under ...
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Common terms and phrases
action amount application appropriate regulatory agency assets authority bank Board broker or dealer broker or government business development company centum certificate clearing agency Commis Commission contract court curities debtor deemed determines director effect employee enforcement exempt face-amount certificate company Federal Reserve System filed foreign government securities broker government securities dealer holding company indenture securities investment adviser issuer istered jurisdiction limited partnership ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise paragraph participant payment penalty penny stocks person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement regulations thereunder request respect rities rule or regulation rules and regulations secu Securities Act self-regulatory organization sion SIPC specified spect subparagraph subsection term thereof tion transaction transfer agent trustee underwriter unit investment trust United States Code unlawful violation