Securities Act of 1933Securities industry – Law and legislationSecuritiesUnited States v. NaftalinTouche Ross & Co. v. RedingtonSecurities and Exchange CommissionSecurities regulationSection 17(a)In this article, the author analyzes two recent Supreme Court decisions involving the securities acts. The ...
aSection 5 of the Securities Act of 1933 prohibits any sale of a “security” unless it is registered with the Securities and Exchange Commission (“SEC”) unless an exemption from registration is available 证券行动的第5部分1933年禁止“安全的”所有销售,除非它向SEC (“SEC”登记),除非豁免从注册...
To be successful in a civil action under Section 11 of the Securities Act of 1933 concerning liability for a misleading registration statement, the plaintiff must prove Defendant's intent to deceive Plaintiff's reliance on the registration statement A. Yes Yes B. Yes No C. No Yes D. No No...
Under Section 12 of the Securities Exchange Act of 1934, in addition to companies whose securities are traded on a national exchange, what class of companies is subject to the SEC’s continuous disclosure system?A. Companies with assets in excess of $5 million and 300 or more shareholders. ...
ablack velvet pasted 黑天鹅绒黏贴了 [translate] apursuant to Section 4(2) of the Securities Act of 1933 at par for an aggregate of $100 representing 97.5% of the total outstanding 1,500,000 shares of common stock 正在翻译,请等待... [translate] ...
Section 13(d) of the Securities Exchange Act of 1934 requires anyone who buys more than 5 percent of a company's stockmakea public disclosure of the purchase. 选项: A、makewill also make B、to make C、must make D、must then make ...
求翻译: Section 1(ggg) of the Securities Act – 16 enumerations:是什么意思?待解决 悬赏分:1 - 离问题结束还有 Section 1(ggg) of the Securities Act – 16 enumerations:问题补充:匿名 2013-05-23 12:21:38 “证券法”第1(GGG) - 16枚举: 匿名 2013-05-23 12:...
Securities Acts of 1933 and 1934 After the stock market crash of 1929, there needed to be a way to limit abuse of the system. That led to the creation of theSecurities Act of 1933and theSecurities Act of 1934. Both of these closed loopholes in different areas. The Act of 1933 does so...
Section 28(a) of the Securities Exchange Act: Punitive Damages and Pendent State Claims 来自 heinonlinebackup.com 喜欢 0 阅读量: 1 收藏 引用 批量引用 报错 分享 全部来源 求助全文 heinonlinebackup.com 相似文献A Multifactor Model of the Quality Option in Treasury Futures Contracts The values of ...
摘要: CiteSeerX - Scientific documents that cite the following paper: Annual Report Pursuant To Section 13 or 15 (D) of the Securities Exchange Act of 1934. Commission File Number关键词: CiteSeerX citations Annual Report Pursuant To Section 13 or 15 (D) of the Securities Exchange Act of ...