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.
Copyright © 2012, Campbell R. Harvey. All Rights Reserved.

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.
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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.
Wall Street Words: An A to Z Guide to Investment Terms for Today's Investor by David L. Scott. Copyright © 2003 by Houghton Mifflin Company. Published by Houghton Mifflin Company. All rights reserved. All rights reserved.
References in periodicals archive ?
The notes will be offered and sold to qualified institutional buyers in the United States pursuant to Rule 144A and outside the United States pursuant to Regulation S under the Securities Act of 1933.
Okta announced its intention to offer, subject to market conditions and other factors, $1.0B aggregate principal amount of convertible senior notes due 2025 in a private offering to qualified institutional buyers pursuant to Rule 144A under the Securities Act of 1933. Okta intends to use a portion of the net proceeds from the offering to pay the cost of the capped call transactions.
By law, the annual rate changes for fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934 must take effect on the first day of each fiscal year.0x20Therefore, effective Oct.
78j(b), and 17(a)(1) of the Securities Act of 1933, 48 Stat.
In order to provide law students with a general understanding of the key issues in securities regulation, Steinberg focuses principally on the Securities Act of 1933 and the Security Exchange Act of 1934.
In conjunction, the notes and the units issuable upon conversion of the notes have not been registered under the Securities Act of 1933, as amended, or any state securities laws, and unless so registered, have not been or will be offered or sold in the United States, except pursuant to an applicable exemption from the registration requirements of the Securities Act of 1933, as amended, and any state securities laws.
30 August 2013 -- Atlanta USA-based investment adviser Invesco Advisers Inc said that Invesco Dynamic Credit Opportunities Fund (NYSE: VTA) has successfully priced and placed a private offering of variable rate term preferred shares in the amount of USD 125m pursuant to an offering exempt from registration under the Securities Act of 1933.
(NYSE: LVLT) said that Level 3 Financing, Inc., its wholly owned subsidiary, has completed its previously announced offering of $775 million aggregate principal amount of its 7% senior notes due 2020 in a private offering to "qualified institutional buyers," as defined in Rule 144A under the Securities Act of 1933, as amended, and non-U.S.
The exchange is for new 7.5 percent Senior Notes due 2021 that are registered under the Securities Act of 1933, as amended.
The SEC ordered Hansen to cease and desist from violating the disclosure, periodic reporting, books and records and internal control provisions contained in various sections of the Securities Act of 1933, the Securities Exchange Act of 1934 and the Exchange Act.
Securities and Exchange Commission (SEC) under the Securities Act of 1933, as amended.

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