1933 ACT SECTION 3

Aug 30, 11
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  • Contains full coverage of the Securities Act of 1933-The . . 3.05 Securities of Charitable Organizations—Section 3(a)(4) § 3.06 Securities of Savings and Loan .
  • . the 1933 Act. Private placements are done in reliance upon Sections 3(b) or . a private placement are not stated in that section of the Securities Act of 1933. .
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  • S-3, Registration statement under Securities Act of 1933, SEC1379, 04/2009 . 8- A, Registration of certain classes of securities pursuant to Section 12(b) or (g) .
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  • Rule 504 provides for a Section 3(b) small offering exemption from Section 5 of the 1933 Act for offerings not exceeding $1 million. The rule is available to .
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  • The Gold Confiscation Of April 5, 1933 . in me by Section 5(b) of the Act of October 6, 1917, as amended by Section 2 of the Act of March 9, 1933, entitled .
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  • (2) The term Act means the Securities Act of 1933. . . The term common trust fund as used in section 3(a)(2) of the Act (15 U.S.C. 77c(a)(2)) shall include a .
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  • (3) Where, in the opinion of the Minister, a licence proposed to be granted under this section is, owing to its nature, duration, or otherwise, of a trivial character .
  • Oct 29, 2010 – This is another treatise that covers the entire 1933 Act. This treatise is not . 3. Allan Horwich, Section 11 of the Securities Act: The Cornerstone .
  • Securities offered or sold pursuant to most of the exemptions contained in 1933 Act Section 3(a), plus under Section 4(2)(including certain exchange offers but .
  • Securities Act of 1933. Section 3 -- Classes of Securities under this Title . of the term "investment company" under section 3(c)(3) of the Investment Company Act .
  • (See Section 6 of the Securities Act of 1933 for information concerning the . Applies to 1933 Act registration forms S-1, S-2, S-3, S-11, SB-1, SB-2, F-1, F-2, and .
  • Securities Act of 1933 . . a bank as defined in section 3(a)(2) whether .
  • . exempt under section 3a(3), (7), (9), or (10) of the Securities Act of 1933 [15 . Section 1145 (a)(3) grants a debtor in possession or trustee in chapter 11 an .
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  • §3(a)(2)1933 Act, IS - 03, Exemption for Securities Issued by Domestic . the bank securities exemption set forth in Section 3(a)(2) of the Securities Act of 1933 . .
  • Jump to Investment Advisors Act of 1940‎: Section 3(a)(2) of the 1933 Act exempts from the registration requirements and other provisions of the act: .
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  • Securities Act of 1933 . Any bank as defined in section 3(a)(2) of the Act, or any savings and loan association or other institution as defined in section 3(a)(5)(A) .
  • Most commercial paper is issued under Section 3(a)(3) of the 1933 Act which exempts from registration requirements short-term securities as long as they have .
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  • If the source note at the end of a Section of the statutes includes a Public Act . . as described in Section 18(b)(3) of the Federal 1933 Act, effecting transactions in .
  • Commercial Paper: An Exempted Security Under Section 3(a)(3) of the Securities Act of 1933, 24 UCLA LAW REVIEW 227 (1976). Recapitalizations Under .
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  • 450+ items – . immediately followed by a "?A". Form Type, Definition, Notes .
  • Under section 203(r) of the act (70 P. S. § 1-203(r)), the Commission finds it . under Regulation A adopted under section 3(b) of the 1933 Act (15 U.S.C.A. .
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  • Congress enacted the Securities Act of 1933 (the 1933 Act, the Securities Act, the Truth in . Recently, however, NSMIA added a new Section 18 to the 33 Act which . 1 Purpose; 2 Registration process; 3 Rule 144; 4 Regulation S; 5 Civil .
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  • (1) This Act may be called the Indian Wireless Telegraphy Act, 1933. (2) It extends to the . (3) 'prescribed' means prescribed by rules made under Section 10. 3. .
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  • Securities sold pursuant to Regulation A are issued at the federal level pursuant to section 3(b) of the 1933 Act, which gives the SEC authority to exempt up to $5 .
  • An SEC no-action letter issued in early 2010 extends its position on whether Section 3(a)(9) of the 1933 Act applies to upstream guarantees. Section 3(a)(9) .
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  • Securities Act of 1933 . section 3(a), other than the offer or sale of a security that is exempt from such registration pursuant to paragraph (4), (10) or (11) of such .
  • Nov 1, 1999 – Section 3(a)(10)1 of the Securities Act2 is an exemption from Securities . .. of the Securities Act of 1933, As Amended at 280-81 (draft of May 1, .
  • Contrasted with the Securities Act of 1933, which regulates these original . . Section 13(b)(3)(A) of the Securities Exchange Act of 1934 provides that "with .
  • Securities Act of 1933 . Section 2 -- Definitions; Promotion of Efficiency .
  • if the investment decision is made by a plan fiduciary, as defined in section 3(21) of such Act [29 U.S.C. 1002(21)], which is either a bank, insurance company, .

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