Securities Act of 1933 Release, Issues 4727-4899The Commission - Securities |
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Page 5
... exhibit or other paper or document filed with a statement or report is in a foreign language , it shall be accompanied by a translation into the English language . Rule 12b - 13 . Preparation of Statement or Report -5- 33-4761.
... exhibit or other paper or document filed with a statement or report is in a foreign language , it shall be accompanied by a translation into the English language . Rule 12b - 13 . Preparation of Statement or Report -5- 33-4761.
Page 13
... foreign or domestic arbitrage transaction in any equity security of such issuer , whether registered or not , unless he shall include such transaction in the statements required by Section 16 ( a ) and shall account to such issuer for ...
... foreign or domestic arbitrage transaction in any equity security of such issuer , whether registered or not , unless he shall include such transaction in the statements required by Section 16 ( a ) and shall account to such issuer for ...
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... foreign postal fraud orders do not halt mail sent into the United States by the foreign - based promoter , but do result in return mail directed from the United States residents to the promoter's foreign address being returned to the ...
... foreign postal fraud orders do not halt mail sent into the United States by the foreign - based promoter , but do result in return mail directed from the United States residents to the promoter's foreign address being returned to the ...
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... FOREIGN RESTRICTED LIST Third Supplement The Securities and Exchange Commission has added American Inter- national Mining to its Foreign Restricted List . The list is comprised of the names of foreign companies whose securities the ...
... FOREIGN RESTRICTED LIST Third Supplement The Securities and Exchange Commission has added American Inter- national Mining to its Foreign Restricted List . The list is comprised of the names of foreign companies whose securities the ...
Page 11
... foreign persons , the registration statement shall also be signed by their authorized representative in the United States . 2. The name of each person who signs the registration statement shall be typed or printed beneath his signature ...
... foreign persons , the registration statement shall also be signed by their authorized representative in the United States . 2. The name of each person who signs the registration statement shall be typed or printed beneath his signature ...
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Common terms and phrases
1933 with respect Aetna allegations amended amount application assets Bahamas beneficial ownership Blue Star Productions broker broker-dealer CALIFORNIA LIBRARY cash Commission's common stock convertible securities copies Corporation Finance D. C. Securities Act dealers deposit directors disclosure distribution Division of Corporation DuBois Secretary effective EXCHANGE COMMISSION Washington exemption from registration failed to disclose false and misleading financial statements Form S-1 Hadson initial decision interest Investment Company Act investors issuer Item material facts offering circular offering of securities offering price officer order temporarily suspending Orval paragraph person prior proceedings prospectus purchase pursuant to Rule pursuant to Section record registrant's registration requirements registration statement registration with respect Regulation A exemption request schedule Securities Act Release SECURITIES AND EXCHANGE Securities Exchange Act shares sold stockholders stop order subsidiary suspending a Regulation temporary suspension order thereof transactions underwriter UNIVERSITY OF CALIFORNIA vacated voting trust
Popular passages
Page 1 - ... has been unable to procure the attendance of the witness by subpoena; or (E) upon application and notice, that such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used.
Page 11 - affiliate' of, or a person 'affiliated' with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified. "(f) Control. The term 'control' (including the terms 'controlling,
Page 4 - ... the first date upon which the security was bona fide offered to the public by the issuer or by or through an underwriter...
Page 9 - States. 2. The name of each person who signs the registration statement shall be typed or printed beneath his signature. Any person who occupies more than one of the specified positions shall indicate each capacity in which he signs the registration statement.
Page 1 - ... unless it appears that the absence of the witness was procured by the party offering the deposition; or...
Page 7 - ... 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 fiduciary capacity, and (3) any relative or spouse of such person, or any relative of such spouse. who has the same home as such person or who Is a director or officer of the bank or any of its parents or subsidiaries.
Page 1 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.