Securities Act of 1933

(redirected from 1933 Act)

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 New Shares have not been and will not be registered under the 1933 Act or any U.S.
The securities have not been and will not be registered under the United States Securities Act of 1933, as amended (the "1933 Act") or any state securities laws and may not be offered or sold within the United States or to, or for account or benefit of, U.S.
Investor Eligibility: Shares of common stock are offered solely to investors that are "accredited investors" as defined in Rule 501(a) of Regulation D promulgated under the Securities Act of 1933, as amended (the "1933 Act").
The securities have not been and will not be registered under the United States Securities Act of 1933, as amended (the "1933 Act"), or any state securities laws and may not be offered or sold in the United States unless registered under the 1933 Act and any applicable securities laws of any state of the United States or an applicable exemption from the registration requirements is available.
First, did SLUSA strip state courts of jurisdiction over class actions alleging violations of only the Securities Act of 1933 (1933 Act), 48 Stat.
(8) By the time Congress passed the federal Securities Act of 1933 (the 1933 Act), forty-seven of the forty-eight states as well as the then-territory of Hawaii had adopted blue sky laws.
Not all milk dealers signed the new the government-enforced classified pricing agreements, authorized in the 1933 act. So, the Federation pushed Congress to pass the Agricultural Marketing
SCOTUS tackles when a statement of opinion is actionable under the 1933 Act
FURTHER READING: Truth may be a subjective matter in Supreme Court case Omnicare: The other securities case directors and officers should be worried about SCOTUS tackles when a statement of opinion is actionable under the 1933 Act
The SEC adopted Regulation S to provide a "safe harbor" exemption from registration under the 1933 act for offerings and sales of securities occurring outside the United States.
The 1933 Act prohibited any offering or public sale of a security unless it was registered with the SEC or satisfied one of the statutory exemptions to the registration requirements.
In the wake of the Great Depression, Congress enacted the Securities Act of 1933 (1933 Act) and the Securities Exchange Act of 1934 (1934 Act).