LAWS RELATING

TO SECURITIES COMMISSION LAWS
EXCHANGES AND HOLDING COMPANIES

(WITH INDICES)

Compiled By

GILMAN G. UDELL, Superintendent

Document Room

House of Representatives

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1976

For sale by the Superintendent of Documents, U.S. Government Printing Office
Washington, D.C. 20402-Price $3.50

Public, No. 22-73d Cong., Approved May 26, 1933

AN ACT

To provide full and fair disclosure of the character of securities sold in interstate and foreign commerce and

through the mails, and to prevent frauds in the sale thereof, and for other purposes.

8. Exempted Securities.

(a) (1) Offerings prior to or within 60 days after enactment of this

Insurance or endowment policies..

291-73d Cong., see p. 52.)

(Additional subsections added in Title II of Public, No.

(b) Power of Commission to exempt additional classes of securities.

4. Exempted transactions..

(1) Transactions by persons other than an issuer or dealer...

(2) Brokers' transactions..

4,53

(3) Exclusive exchange of securities with existing security

holders....

4, 58

5. Prohibitions Relating to Interstate Commerce and the Mails..

Restriction prior to registration....

(b) Restriction on transmission of prospectus-

(c) Inapplicability of Section to securities sold in a single State

or Territory..

6. Registration of Securities and Signing of Registration Statement.
(a) Filing and signing...

(b) Filing fee.

(0) Actual time of filing and form of payment required..

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(d) Publicity of information filed and its availability for purchase..

7. Information Required in Registration Statement..

(III)

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