Section 17(a) of the Securities Act of 1933 After Naftalin and RedingtonSecurities Act of 1933Securities industry – Law and legislationSecuritiesUnited States v. NaftalinTouche Ross & Co. v. RedingtonSecurities and Exchange CommissionSecurities regulationSection 17(a)...
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The Securities Exchange Act of 19341 superimposes a rather complex regulatory structure upon the intricate and sensitive mechanism of the securities market... PAJ Loomis - 《Geo.wash.l.rev》 被引量: 13发表: 1959年 SEC reporting obligations for insiders and large traders under Section 13 and Sec...
Section 15 makes “control persons” jointly and severally liable to the issuer. Section 17(a) provides for liability for fraudulent sales of securities. This provision is similar to Section 10b of the Securities Exchange Act and Rule 10b-5.The...
Related to Securities Exchange Act of 1934:Securities Act of 1933 se·cu·ri·ty (sĭ-kyo͝or′ĭ-tē) n.pl.se·cu·ri·ties 1.Freedom from risk or danger; safety. 2.Freedom from doubt, anxiety, or fear; confidence. 3.Something that gives or assures safety, as: ...
Sec. 2 SECURITIES ACT OF 1933 4 that prior to or at the same time with such communication a written prospectus meeting the requirements of subsection (a) of section 10 at the time of [2] such communication was sent or given to the person to whom the communication was made, and (b) ...
need to do so.Footnote20Consistent with the opinions of investors, the Japanese Companies Act was reformed in 2014; as a result, companies are now required to obtain the approval of a shareholder meeting in order to issue shares that would change their control under certain conditions.Footnote...
SEC. 17. (77q) (a) It shall be unlawful for any person in the offer or sale of any securities (including security-based swaps) or any security-based swap agreement (as defined in section 3(a)(78) of the Securities Exchange Act 27) by the use of any means or instruments of transpo...
Securities registered pursuant to Section 12(b) of the Act: Name of Each Exchange Title of Each Class on Which Registered S Releases 被引量: 15发表: 2001年 Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the MIAX PEARL Options Fee Sched...
(d) OF THE SECURITIES EXCHANGE ACT OF 1934For the fiscal year ended October 31, 2010 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934For the transition period from ___ to ___.Commission file number: 001-32491COFFEE HOLDING CO., INC.(Exact name ...