Understanding the Securities Act and the S.E.C.American Book Company, 1948 - 327 sider |
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Side 63
... purchase properly should be regarded as correlative to the concept of sale . It is clear that the terms do not refer exclusively to cash transaction . An important element of the definition of underwriter is the require- ment that the ...
... purchase properly should be regarded as correlative to the concept of sale . It is clear that the terms do not refer exclusively to cash transaction . An important element of the definition of underwriter is the require- ment that the ...
Side 66
... purchase , who may or may not be formal parties to the underwriting contract , but who are given a certain share or interest therein.33 The Commission has provided by rule , however , that a person who agrees to take up the unsold ...
... purchase , who may or may not be formal parties to the underwriting contract , but who are given a certain share or interest therein.33 The Commission has provided by rule , however , that a person who agrees to take up the unsold ...
Side 269
... Purchase price of 16,5832 $ 5 Prior Preference Shares and 66,731 Com- mon Shares Plus fees and expenses incurred Purchase price of 64,072 Common Shares $ 1,476,328.50 42,949.13 $ 1,519,277.63 $ 300,000.00 26,891.33 326,891.33 250,000.00 ...
... Purchase price of 16,5832 $ 5 Prior Preference Shares and 66,731 Com- mon Shares Plus fees and expenses incurred Purchase price of 64,072 Common Shares $ 1,476,328.50 42,949.13 $ 1,519,277.63 $ 300,000.00 26,891.33 326,891.33 250,000.00 ...
Innhold
CHAPTER PAGE I Historical Background | 3 |
The Securities Act of 1933 | 18 |
The Organization and Operation of the Securities and Exchange Commission | 28 |
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accounting Act Rule amendment amount assets August 28 balance sheet become effective blue sky laws bonds Brooklyn-Manhattan Transit Corporation cash cent certificates certificates of deposit Class Commission's Committee common stock contract Corporation court dealers directors disclosed disclosure distribution dividends effective date Exchange Commission exemption Federal Federal Securities Act Federal Trade Commission Felix Frankfurter filed financial statements funds interest interstate commerce investment investors issuance issuer letter of deficiencies liability mails Matter ment Mining offering price officers omission opinion paid payment period person preferred stock prior profit promoters proposed prospectus public offering purchase purpose pursuant reason registrant's registration statement regulations sale of securities Section 11 Section 3(a Securities Act Release Securities and Exchange Securities Exchange Act security holders security issued seller selling Seventy-third Congress shares sold stockholders stop order Supp thereof tion transactions trust underwriter untrue statement