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Topic: Foreign Securities Act

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	Rule 12g3-2 -- Exemptions for American Depositary Receipts and Certain Foreign Securities
		Securities of any class issued by any foreign private issuer shall be exempt from section 12(g) of the Act if the class has fewer than 300 holders resident in the United States.
		Securities of any foreign private issuer shall be exempt from section 12(g) of the Act if the issuer, or a government official or agency of the country of the issuer's domicile or in which it is incorporated or organized:
		A foreign private issuer that has filed a Form 15F solely with respect to a class of debt securities may establish the exemption under Rule 240.12g3-2(b) regarding a class of equity securities by submitting an application to the Commission after filing its Form 15F.
	www.law.uc.edu /CCL/34ActRls/rule12g3-2.html (1270 words)

	Securities Act of 1933 - Wikipedia, the free encyclopedia
		A primary means of accomplishing these goals is the disclosure of important financial information through the registration of securities.
		In general, securities sold in the U.S. must be registered.
		Not all offerings of securities must be registered with the U.S. Securities and Exchange Commission ("SEC").
	en.wikipedia.org /wiki/Securities_Act_of_1933 (245 words)

	Washington University Law Quarterly: THE FUNDAMENTALS OF AN ELECTRONIC-BASED FEDERAL SECURITIES ACT
		The assumption does, however, simplify the discussion of what ought to be the focus and operation of the Securities Act in the age of the World Wide Web; the assumption, bold as it is, removes the troubling inertial forces of the regulatory culture that has developed in the administration and practice of the Securities Act.
		Securities class actions more frequently occur in connection with larger public offerings, no doubt reflecting the class action attorney's need that there be sufficient sums in dispute to provide reasonable compensation for her services.
		Under an electronic-based securities act, the burdens will be greater, as all registrants will undergo periodic due diligence reviews of their SEC filings, but the cost of this additional burden will not be triggered by the the act of raising capital.
	www.wulaw.wustl.edu /WULQ/75-2/752-6.html (11703 words)

	On the SEC Site: Your Privacy
		Records may be referred to other federal agencies, state or local governments, foreign governments or foreign securities authorities, or securities self-regulatory organizations.
		In any proceeding where the federal securities laws are in issue or in which the SEC, or past or present members of its staff, are parties or are involved in an official capacity.
		In connection with investigations or disciplinary proceedings by a state securities regulatory authority or a foreign securities authority, or by a self-regulatory organization involving one or more of its members.
	www.sec.gov /privacy.htm (888 words)

	Sarbanes-Oxley Act of 2002: Application to Foreign Private Issuers with Securities Registered Under the 1934 Act (Site not responding. Last check: 2007-10-26)
		Securities registered by a Foreign Private Issuer under the 1934 Act are exempt from the proxy rules under Section 14 of the 1934 Act and are exempt from the ownership/transaction reporting and short swing profit provisions of Section 16 of the 1934 Act.
		Although these provisions of the Act are drafted principally in respect of pension plans that are subject to the United States pension and labor laws, the prohibition on transactions during a flout period is not limited to pension plans that are subject to United States law.
		As a consequence, counsel for foreign companies may find themselves subject to SEC standards of conduct with respect to matters of attorney-client relationships and with respect to the internal affairs of foreign companies, including, for example, the extent to which counsel may be required to communicate with outside directors separate from management.
	www.thelenreid.com /articles/article/art_135_idx.htm (3355 words)

	S&W LLP -> S&W in Print -> S&W Publications -> SEC Mandates EDGAR Filings for Foreign Issuers and ... (Site not responding. Last check: 2007-10-26)
		When the foreign private issuer makes its initial public filing of a registration statement under the Securities Act or Exchange Act, however, the public filing must be submitted electronically, as well as any letters responding to SEC comments or related correspondence (response letters and other related correspondence will not be publicly available).
		Foreign private issuers may concurrently submit a paper copy of the unabridged foreign language document under Form SE, and the SEC recommends that foreign private issuers post their foreign language documents on their corporate web sites for investor access.
		Although foreign private issuers may initially find compliance with the new SEC rules burdensome, the benefits expected to be realized by investors, the SEC and ultimately foreign private issuers, such as speed, convenience and exposure, should outweigh associated burdens.
	www.sandw.com /print/print_pub_item.phtml?ID=82 (1285 words)

	Interpretive Statements-Securities Act
		The Securities And Exchange Commission has said that domestic branches of foreign banks that are subject to regulation substantially equivalent to that of federally- or state-chartered domestic banks doing business within the same jurisdiction will qualify for the bank securities exemption set forth in Section 3(a)(2) of the Securities Act of 1933.
		The Securities Administrator finds that the premise of the exemptions from registration for banks, savings and loans, and credit unions is that the issuing institution is under the close supervision of federal or state banking regulators.
		The draftsmen's commentary to §402(b)(8) of the Uniform Securities Act, which is the corresponding section to RCW 21.20.320(8), indicates that the exemption is premised upon the "sophistication" of the listed institutions.
	www.dfi.wa.gov /sd/securitiesinterpretive.htm (5252 words)

	DOJ-DOC Brochure (Site not responding. Last check: 2007-10-26)
		The abuses ran the gamut from bribery of high foreign officials to secure some type of favorable action by a foreign government to so-called facilitating payments that allegedly were made to ensure that government functionaries discharged certain ministerial or clerical duties.
		For acts taken within the territory of the United States, issuers and domestic concerns are liable if they take an act in furtherance of a corrupt payment to a foreign official using the U.S. mails or other means or instrumentalities of interstate commerce.
		A foreign company or person is now subject to the FCPA if it causes, directly or through agents, an act in furtherance of the corrupt payment to take place within the territory of the United States.
	www.usdoj.gov /criminal/fraud/fcpa/dojdocb.htm (2632 words)

	SB 38 adopt the Uniform Securities Act, to repeal...
		A security for which a registration statement has been filed under the Securities Act of 1933 in connection with the same offering may be registered by coordination under this section.
		A record filed under this Act or the predecessor act within five years preceding the filing of a registration statement may be incorporated by reference in the registration statement to the extent that the record is currently accurate.
		An individual may not act as an agent for more than one broker-dealer or one issuer at a time, unless the broker-dealer or the issuer for which the agent acts are affiliated by direct or indirect common control or are authorized by rule or order under this Act.
	legis.state.sd.us /sessions/2004/bills/SB38enr.htm (8364 words)

	US CODE: Title 18,1030. Fraud and related activity in connection with computers
		(B) which is used in interstate or foreign commerce or communication, including a computer located outside the United States that is used in a manner that affects interstate or foreign commerce or communication of the United States;
		(H) a branch or agency of a foreign bank (as such terms are defined in paragraphs (1) and (3) of section 1(b) of the International Banking Act of 1978); and
		No action may be brought under this subsection unless such action is begun within 2 years of the date of the act complained of or the date of the discovery of the damage.
	www4.law.cornell.edu /uscode/18/1030.html (1766 words)

	TH&T \| Publications \| Article Search Results (Site not responding. Last check: 2007-10-26)
		A foreign language document accompanied by a “fair and accurate” English language summary will be sufficient to satisfy the filing requirements in all other cases.
		The SEC, however, is permitting foreign issuers that filed their Securities Act registration statements before November 4, 2002 to continue to make paper filings of those registration statements through Tuesday, December 31, 2002.
		The SEC is also encouraging foreign issuers to “test file” in advance of the deadline to ensure that they are able to comply with the new EDGAR filing requirements.
	www.tht.com /pubs/SearchMatchPub.asp?ArticleID=805 (705 words)

	Securities Act of 1933 -- Facts, Info, and Encyclopedia article (Site not responding. Last check: 2007-10-26)
		Part of the (A reapportioning of something) New Deal, it was signed into law on June 6, 1933 by U.S. President (Click link for more info and facts about Franklin D. Roosevelt) Franklin D. Roosevelt.
		These statements and the accompanying prospectuses become public shortly after filing, and investors can access them using (The younger brother of Edwy who became king of Northumbria when it renounced Edwy; on Edwy's death he succeeded to the throne of England (944-975)) EDGAR.
		Not all offerings of securities must be registered with the (An independent federal agency that oversees the exchange of securities to protect investors) Securities and Exchange Commission (the "SEC").
	www.absoluteastronomy.com /encyclopedia/S/Se/Securities_Act_of_1933.htm (309 words)

	Foreign Bondholders Act of 1933 as supplied by EagleTraders.com
		The act states that the corporation shall be created "for the purpose of protecting, conserving and advancing the interests of the holders of foreign securities in default."
		The secretary of State, however, advised the President that some of the foreign nations whose bonds were in default would regard the creation of such an official corporation as an unfriendly act.
		In fact, Title II was not contained in the original administration draft of the Securities Act and was added on the floor of the Senate at the insistence of the late Senator Hiram Johnson of California, who had been responsible for the Senate Finance Committee's investigation of sale of foreign bonds in the United States.
	www.eagletraders.com /advice/securities/foreign_bondholders.htm (227 words)

	[No title]
		An individual who acts concurrently or sequentially on behalf of a number of issuers, e.g., a general partner of various oil and gas partnerships who receives commissions for selling securities of those entities, may be considered a broker-dealer rather than a sales representative.
		A person acting on behalf of an issuer offering securities exempt under paragraphs (5) through (10) and paragraph (14) of Section 401(b) is required to be licensed if he or she otherwise comes within the definition of sales representative in Section 101(14).
		Paragraphs (2) and (3): As the federal courts and the Securities and Exchange Commission have construed the term "willfully" in Section 15(b) of the Securities Exchange Act of 1934, all that is required is proof that the person acted intentionally in the sense that the person was aware of what he or she was doing.
	www.law.upenn.edu /bll/ulc/fnact99/usa88.htm (13612 words)

	COTTON - Online Information article about COTTON (Site not responding. Last check: 2007-10-26)
		Several of the great houses were originally and still are nominally merchants, but are largely concerned with finance business—that is, with the making of loans to foreign governments and the issue of capital on behalf of companies.
		It is (a) money which is temporarily in the hands of houses or institutions which have just received subscriptions to loans or other capital offered to the public; (b) balances left temporarily with finance houses or banks on behalf of foreign governments or other parties who have payments to make in London.
		In the former case the " money " is almost invariably only available for a short time, probably only for a few days; in the latter case also it probably will be only available for a few days, but may be available for months.
	encyclopedia.jrank.org /COR_CRE/COTTON.html (4150 words)

	Women Against the Internal Securities Act
		We believe that the Internal Security Act is archaic, has been systematically used to silence criticism and political dissent and it contravenes international standards on freedom of expression and the right to a fair trial.
		The Act was first enacted in 1960 in the context of a National Emergency, and was intended for a very narrow and specific purpose, i.e.
		WAC calls upon all women's organisations and Malaysian women to oppose the Internal Security Act because it is a draconian act which violates the fundamental liberties and rights of all Malaysian citizens, both women and men.
	www.wao.org.my /news/20010509isa.htm (807 words)

	Securities Act -- Securities Rules
		(c) securities adviser: a person that engages or holds itself out as engaging in the business of advising others through direct advice or through publications about investing in, or buying or selling, specific securities, exchange contracts or both, not purporting to tailor that advice or publication to the needs of specific clients.
		(d) give a false impression that the person is authorized to act as a portfolio manager, investment counsel, securities adviser or salesperson — investment adviser, as the case may be.
		(d) if a subsequent purchase is made under a contractual plan, a statement of the total number of securities of the mutual fund acquired and the amount of charges paid under the contractual plan up to the date on which the confirmation is sent.
	www.qp.gov.bc.ca /statreg/reg/S/Securities/194_97.htm (9392 words)

	FTC Office of the General Counsel - Amicus Briefs
		The brief argues that collaborative underwriting activities occurring during the initial public offering of securities that are expressly or implicitly authorized under the securities laws, as well as conduct inextricably intertwined with such activities, are immune from the antitrust laws.
		It also cautions that antitrust claims in the securities context must be carefully scrutinized to ensure that legitimate underwriting activities are not chilled by vague or conclusory allegations of impermissible conduct.
		It argues that the district court properly dismissed plaintiffs' complaint for lack of jurisdiction, and that plaintiffs' claims represent an attempt to expand the Sherman Act's scope that is contrary to the FTAIA.
	ftc.gov /ogc/briefs.shtm (4078 words)

	Arizona Corporation Commission - Securities Division (Site not responding. Last check: 2007-10-26)
		44-1871 - Securities that may be registered by description
		44-1896 - Substitution of prospectus filed under or complying with standards of form prescribed by or under securities act of 1933 for prospectus required by sections 44-1892 and 44-1894
		44-1993 - Misrepresentation of effect of registration of securities
	www.ccsd.cc.state.az.us /statutes_and_rules/secact.asp (879 words)

	[No title] (Site not responding. Last check: 2007-10-26)
		In a recent no-action letter, the SEC Division of Investment Management said it would not recommend Commission action against the France Growth Fund under section 12(d)(1)(A) of the Investment Company Act if the fund purchases securities issued by unregistered foreign investment companies in excess of the limits imposed by section 12(d)(1)(A).
		The fund is a diversified closed-end management investment company that is registered under the 1940 Act.
		The fund invests its assets primarily in the securities of French operating companies, but would like to supplement those holdings with investments in a select number of French mutual funds as well as mutual funds organized under the laws of other European Union member states.
	cchwallstreet.com /news/headlines/page262.asp?fr=print (230 words)

	HM Revenue and Customs: Taxes Acts 2001 - 2002 Vol.1 Income and Corporation Taxes Act 1988 Part III ICTA88/S48 - ...
		HM Revenue and Customs: Taxes Acts 2001 - 2002 Vol.1 Income and Corporation Taxes Act 1988 Part III ICTA88/S48 - Securities of foreign states.
		if it is proved, on a claim in that behalf made to the Board, that the person owning the securities and entitled to the dividends or proceeds is not resident in the United Kingdom.
		Paragraph 1 of Schedule C shall not apply, in the case of dividends payable out of any public revenue other than the public revenue of the United Kingdom, if the securities in respect of which the dividends are payable are held in a recognised clearing system
	www.inlandrevenue.gov.uk /taxes_act_2001/vol01/ictapt03/ictapt03-06.htm (245 words)

	Corporate Counsel Center - Securities Litigation
		One of the fundamental axioms of IT is that there is a tradeoff between access and security: easier access translates to greater security risks.
		The Securities Industry Association Site for SIA member-firms (including investment banks, broker-dealers, and mutual fund companies) which are active in all U.S. and foreign markets and in all phases of corporate and public finance.
		Securities Lawyer's Deskbook From the Center for Corporate Law, University of Cincinnati College of Law.
	corporate.findlaw.com /industry/seclit (308 words)

	HM Revenue and Customs: Taxes Acts 2000 - 2001 Vol.2 ICTA Part XVII 723. - Foreign securities: delayed remittances. ...
		(1) This section applies where in an interest period a person is treated as entitled to a sum or sums under section 713(2)(a) in respect of a transfer or transfers of securities of a particular kind which are situated outside the United Kingdom.
		(b) that the inability was due to the laws of the territory in which the securities are situated, or to the executive action of its government, or to the impossibility of obtaining foreign currency in that territory; and
		(8) For the purposes of this section the place where securities are situated shall be determined in accordance with section [275 of the 1992
	www.inlandrevenue.gov.uk /taxes_act_2000/vol02/ictapt17/ictapt17-23.htm (397 words)

	An Act to amend ''The Stamp Act, 1870,'' in relation to Foreign Securities, Mortgages of Stock, and Proxy Papers. - ...
		An Act to amend ''The Stamp Act, 1870,'' in relation to Foreign Securities, Mortgages of Stock, and Proxy Papers.
		Title: An Act to amend ''The Stamp Act, 1870,'' in relation to Foreign Securities, Mortgages of Stock, and Proxy Papers.
		A complete original printed act, from the annual volume for the year.
	www.booksets.com /si/66946.html (51 words)

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