为了恢复公众对证券市场的信心并确保市场的稳定发展,美国政府制定了 1934 年证券交易法(the Securities Exchange Actof 1934)并据此于同年设立了 SEC。 SEC 的权力主要滥觞于两项法律,即 1933 年证券法(theSecurities Actof 1933)和 1934 年证券交易法(the Securities Exchange Actof 1934)。证券法旨在保护投资者...
as Beatty and Scott knew or were reckless in not knowing. Whiteley provided administrative and operational support to the ASV Owner, including, for example, providing him with contract templates and identifying potential financing opportunities for ASV. In addition, Hastings...
SEC Contracthas the meaning assigned to such term in Section 3.14(a). “SEC Documents” has the meaning assigned to such term inSection 4.7. “Securities Act” means theSecurities Act of 1933,as amended. “SemCrude Pipeline” has the meaning assigned to such term inthe recitals. ...
filed with the Commission not earlier than three years prior to the date hereof and no notice of objection of the Commission to the use of such registration statement or any post-effective amendment thereto pursuant to Rule 401(g)(2) under the Securities Act has been received by the Company...
1.1 Form of Underwriting Agreement 4.106 US$3,000,000,000 Facilities Agreement between the Registrant and other parties thereto dated April 2, 2021SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf...
但诸多的 SEC 诉加密企业司法纠纷依然出现。因为，在证券的内涵中包括“投资合同（investment contract）”这一较为灵活的类型，很多并未明确指出的金融产品均可与这一概念产生关联。而具体是否可通过这一条款被定义为证券，则可以著名的“豪威测试（Howey test）”作为准则，在已经存在的诸多司法实践中，SEC 均采用了...
SECURITIES ACT OF1933 SEC.2.【77b】 (a) DEFINITIONS.——When used in thistitle, unless the context otherwise requires—The term“security” means any note, stock, treasury stock, security future, securitybased swap, bond, debenture, evidence of indebtedness, certificate of interestor participation...
|_| Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing. (1...
The SEC noted that, generally, meme coin sales do not, by themselves, indicate securities transactions because the token purchases often do not satisfy all elements of an “investment contract” under Howey. Meme coin projects should be prepared to demonstrate that they do not cro...
Item 1. DESCRIPTION OF SECURITIES TO BE REGISTERED Item 2. AVAILABLE INFORMATION NIO Inc. (the “Company”) subject to the periodic reporting requirements of the United States Securities Exchange Act of 1934, as amended, and, accordingly, will file certain reports with, and will furnish certain...