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 securities will not be registered under the Securities Act, 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.
This news release contains "forward-looking statements", as that term is defined in Section 27A of the United States Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934.
The notes were placed in a private placement transaction pursuant to Rule 144A under the Securities Act of 1933, have not been registered under the Securities Act of 1933 and may not be offered or sold in the United States absent registration or an applicable exemption from registration requirements.
The securities will not be registered under the Securities Act or applicable state securities laws and were offered by the placement agents only 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 notes and any common stock issuable upon conversion of the notes have not been registered under the Securities Act of 1933 or the securities laws of any other jurisdiction and, unless they are registered, may not be offered or sold in the United States except pursuant to an exemption from, or in a transaction not subject to, the registration requirements of the Securities Act of 1933 and applicable state securities laws.
These notes will be offered to qualified institutional buyers pursuant to Rule 144A under the Securities Act of 1933, as amended.
The notes will be sold to qualified institutional buyers pursuant to Rule 144A under the Securities Act of 1933, as amended.
The offering will be made only to qualified institutional buyers in accordance with Rule 144A under the Securities Act of 1933, as amended, outside of the United States in compliance with Regulation S under the Securities Act, and to a limited number of other institutional "Accredited Investors" (as defined in Rule 501(a)(1), (2), (3) or (7) under the Securities Act).

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