Securities Act of 1933

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Securities Act of 1933

First law designed to regulate securities markets, requiring registration of securities and disclosure.

Securities Act of 1933

Legislation in the United States that formed the first major federal regulation of the securities trade. Among other provisions, it requires companies traded under interstate commerce to register with the federal government and disclose their financial statements and other activities. Before 1934, registration and disclosure were made with the Federal Trade Commission but, following the creation of the Securities & Exchange Commission, this changed. See also: New Deal.

Securities Act of 1933

A landmark securities law intended to improve the flow of information to potential investors in new security issues and to prohibit certain selling practices relating to those issues. Issuing firms are required to register their securities with the federal government, and investment bankers must provide investors with a prospectus. Secondary issues, private offerings, and certain small issues are usually exempted from requirements of the Act.
References in periodicals archive ?
The Debentures and the common stock issuable upon conversion thereof have not been registered under the Securities Act of 1933, as amended, or any state securities laws.
The securities issued in this private placement will not be registered under the United States Securities Act of 1933, as amended, and may not be offered or sold in the United States absent registration or an applicable exemption from registration requirements of the Securities Act of 1933.
The securities issued in this private placement have not been registered under the Securities Act of 1933, as amended, and may not be offered or sold in the United States absent registration or an applicable exemption from registration requirements of the Securities Act of 1933.
The securities will not be registered under the Securities Act and may not be sold, assigned or transferred unless the sale, assignment or transfer of such securities is registered under the Securities Act of 1933 or an applicable exemption from the registration requirements of the Securities Act of 1933.
75% Convertible Senior Notes due 2012 (the "Notes") to qualified institutional buyers in accordance with Rule 144A under the Securities Act of 1933 (the "Securities Act").
The notes and common stock issuable upon conversion of the notes have not been registered under the Securities Act of 1933, or any state securities laws, and unless so registered, may not be offered or sold in the United States except pursuant to an exemption from the registration requirements of the Securities Act of 1933 and applicable state laws.
The notes and Orbital common shares issuable upon conversion of the notes have not been registered under the Securities Act of 1933, or any state securities laws, and unless so registered, may not be offered or sold in the United States except pursuant to an exemption from the registration requirements of the Securities Act of 1933 and applicable state laws.
persons under Regulation S of the Securities Act of 1933 and to accredited investors in a private placement.
Nasdaq: CMED) today announced the pricing of US$125 million principal amount of Convertible Senior Subordinated Notes due 2011 to qualified institutional buyers pursuant to Rule 144A under the Securities Act of 1933, as amended (the "Securities Act").
The placement agents sold or offered the securities within the Unites States to qualified institutional buyers in accordance with Rule 144A under the Securities Act of 1933 and outside the United States in accordance with Regulation S under the Securities Act of 1933.
The offering was available to qualified institutional buyers in accordance with Rule 144A under the Securities Act of 1933, as amended.
These notes will be offered to qualified institutional buyers pursuant to Rule 144A under the Securities Act of 1933, as amended.