10A. Audit Requirements. Sec. 10B. Position Limits and Position Accountability

Selected Sections of the Securities Act of 1933, the Securities Exchange Act of

In a major step by Congress, Section 4 of the Exchange Act established the .

Appellants' first response is based upon their reading of Section 2(10) of the

The Securities Act of 1933 ("Securities Act") requires full and fair disclosure of . .

Dec 3, 2009 . [Source: Section 1 of title I of the Act of May 27, 1933 (Pub. . . meeting the

Securities Act of 1933 (The Securities Act) . Under Section 5 of the Securities Act

cause of the disclosure provisions of the 1933 act, where these require- ments

Nov 1, 1999 . Section 3(a)(10)1 of the Securities Act2 is an exemption from Securities . .. of the

The 1933 Act regulates the primary market and the 1934 Act regulates the

9.11 - Securities Act of 1933: Rule 482. Rule 482: Advertising by an Investment

Section 11 claims far easier to sustain than Section 10 claims.3 Damages under

Section 10(b) of the Securities Exchange Act of 1934 forbids (1) the “use or

Oct 12, 2009 . Specifically, Section 10(b) of the 1933 Act and Rule 10b-5 of the 1934 Act

10. As discussed more fully in subsequent sections, the 1933 Act imposes disclo-

ments of section 10 of the 1933 Act. Section 7 of the 1940 Act provides that a

Jul 21, 2011 . In addition to the powers relative to prospectuses granted the Commission by

Although the Securities Act of 1933 prohibited fraudulent sales of securities, .

Securities Act of 1933 . Section 2 -- Definitions; Promotion of Efficiency,

Dec 27, 2010 . Section 17(a) of the Securities Act of 1933. Section 10(b) of the Securities

Federal Covered Securities: Mutual Funds or Unit Investment Trusts / Federal

lative histories of both the 1933 Act as a whole and section 12(2) specifically . .

Jul 22, 2010 . Securities Act of 1933 or Section 10(a) prospectuses for purposes of satisfying an

Generally speaking, the '33 Act governs the issuance of securities by companies

Securities Exchange Act of 1934 . . the offering of the subject security is

The Securities Act of 1933 imposes disclosure obligations upon companies . .. of

Section 11 of the 1933 Act. > SECTION 77K. CIVIL LIABILITIES ON ACCOUNT

Sarbanes-Oxley Act of 2002, including increased disclosure in periodic SEC

1933 Act. Section 11(b)(3)(B) states that the accountant will not be held liable if

Necessity of prospectus meeting requirements of Section 10 of this title. It . .

Apr 17, 2010 . The Securities Act of 1933 imposes substantial additional potential . Under

230.168 Exemption from sections 2(a)(10) and 5(c) of the Act for certain . . Offer

3. SECURITIES ACT OF 1933. 10. For purposes of this paragraph, the term ''

Section 10 -- Manipulative and Deceptive Devices . Judicial precedents decided

aftermarket purchasers with claims arising under Section 17(a) of the 1933 Act

Although the 1933 act applies by its terms to any sale by any person of any . .

Apr 15, 2001 . under the 1933 Act has increased after the Supreme Court held that scienter was

(See Section 6 of the Securities Act of 1933 for information concerning the .

Nov 12, 2008 . The Securities Act of 1933 (the “Securities Act”) is the cornerstone to the

Federal savings bank chartered under section 6 of this Act. . savings association

The Securities Act of 1933(“the 1933 Act”) regulates the process by which . of

Section 11 of the 1933 Act imposes civil liability on any party, including auditors,

For possible examples, see the state laws of Alabama, section 35-4-72 (10 year

-SOURCE- (May 27, 1933, ch. . .. 10, 1954, to sections 77e and 77j of this title. .

Contrasted with the Securities Act of 1933, which regulates these original issues,

Securities Act of 1933. Section 10 -- Information Required in Prospectus . of a

File financial statement information with the SEC (10-K, 10-Q). 1933 Act Forms (S

The court began by summarizing the well settled elements of claims under

misrepresentations or omissions of fact that they make in connection with the

Section 11 of the Securities Act of 1933 (the “Act”) provides that underwriters

. acts, practices, and courses of business that violate Section 10(b) of the

Sitemap