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 ?
This press release is being issued pursuant to and in accordance with Rule 135c under the Securities Act of 1933.
The objective of the auditor, in connection with audited financial statements of a nonissuer that are separately included or incorporated by reference in a registration statement filed under the Securities Act of 1933, is to perform specified procedures at or shortly before the effective date of the registration statement to sustain the burden of proof that the auditor has performed a reasonable investigation, as referred to in Section 11(b)(3)(B) of the Securities Act of 1933.
The debentures 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 or to United States persons without registration unless an exemption from such registration is available.
The Trust Preferred Securities were sold in a private transaction exempt from registration under the Securities Act of 1933.
A company with effective registration statements under the Securities Act of 1933 remains obligated to file periodic reports under Section 15(d) of the Exchange Act, and different rules govern termination of the reporting duties under this section.
According to Hoku Scientific, the extension affects approximately 12.6 million shares of common stock, which will be available for sale beginning February 7, subject to any resale restrictions of the federal securities laws, including the limitations of Rule 144 under the Securities Act of 1933, as amended.
It covers the Securities Act of 1933 and the Securities Exchange Act of 1934, including selected rules and forms; selected provisions of Regulations S-K and S-X; Regulations M and M-A; selected provisions of Regulation ATS; Regulations AC, FD, and G; selected provisions of the Rules of Practice and Investigations; selected release of Staff Accounting Bulletins; the Sarbanes-Oxley Act of 2002; selected provisions of the Investment Advisers Act of 1940 and the Advisers Act Rules; and selected provisions of the Investment Company Act of 1940 and the Investment Company Act Rules.
The Securities Act of 1933, for example, enacted to cope with the aftermath of the 1929 financial collapse, was followed by the Securities Exchange Act, which among other things established the SEC.
Jett was ordered to cease and desist violations of sections of the Securities Act of 1933 and the Securities and Exchange Act of 1934, pay $8.21 million in disgorgement, pay a civil penalty of $200,000, and he was barred from association with a broker or dealer.
The Discount Notes were offered only to qualified institutional buyers, as defined in Rule 144A under the amended Securities Act of 1933, and certain investors outside of the United States under Regulation S under the Securities Act.
Specialty cellulose and absorbent product manufacturer Buckeye Technologies, Memphis, TN, plans to offer approximately $200 million in aggregate principal amount of senior notes due in 2013 in a private offering to qualified institutional buyers under Rule 144A of the Securities Act of 1933, and to people outside of the U.S., pursuant to Regulation Act S of the Securities Act of 1933.
In order for these securities to be covered, Fannie and Freddie would have to agree to register their securities under the Securities Act of 1933, which covers disclosures that have to be made to investors to whom securities are being offered for sale by the issuer.

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