Securities Act of 1933 Release, Issues 4727-4899The Commission - Securities |
From inside the book
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Page 1
... transactions in securities as to which a registration statement has become effective under the Act . Rule 174 shortens or eliminates the statutory prospectus delivery requirements of Section 4 ( 3 ) of the Act for a dealer who is not an ...
... transactions in securities as to which a registration statement has become effective under the Act . Rule 174 shortens or eliminates the statutory prospectus delivery requirements of Section 4 ( 3 ) of the Act for a dealer who is not an ...
Page 2
... transactions in a security issued by a face - amount certifi- cate company or in a redeemable security issued by an open - end management company or unit investment trust , if any other security of the same class is currently being ...
... transactions in a security issued by a face - amount certifi- cate company or in a redeemable security issued by an open - end management company or unit investment trust , if any other security of the same class is currently being ...
Page 3
... transaction in the registered securities constituting an unsold allotment to or subscription by such dealer . Other ... transactions in a security as to which a registration statement has been filed taking place prior to the expiration ...
... transaction in the registered securities constituting an unsold allotment to or subscription by such dealer . Other ... transactions in a security as to which a registration statement has been filed taking place prior to the expiration ...
Page 4
... transaction as to securities constituting the whole or a part of an unsold allotment to or subscription by such dealer as a participant in the distribution of such securities by the issuer or by or through an underwriter . The ...
... transaction as to securities constituting the whole or a part of an unsold allotment to or subscription by such dealer as a participant in the distribution of such securities by the issuer or by or through an underwriter . The ...
Page 4
... transaction as to securities constituting the whole or a part of an unsold allotment to or subscription by such dealer as a participant in the distribution of such securities by the issuer or by or through an underwriter . The ...
... transaction as to securities constituting the whole or a part of an unsold allotment to or subscription by such dealer as a participant in the distribution of such securities by the issuer or by or through an underwriter . The ...
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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.