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Topic: Securities Act of 1933

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	How the SEC Protects Investors, Maintains Market Integrity
		On August 8, 2005, the Energy Policy Act of 2005 (H.R. 6, 199th Cong.) was signed by the President and became law, Pub.L. Title XII of the Energy Policy Act is the Electricity Modernization Act of 2005 (the "Modernization Act").
		Even though such securities may be registered under the Securities Act, they may not be offered for sale to the public unless a formal agreement between the issuer of bonds and the bondholder, known as the trust indenture, conforms to the standards of this Act.
		It is important to remember that the Act does not permit the SEC to directly supervise the investment decisions or activities of these companies or judge the merits of their investments.
	www.sec.gov /about/laws.shtml (1287 words)

	Science Fair Projects - Securities Act of 1933
		Part of the New Deal, it was signed into law on June 6, 1933 by U.S. President Franklin D. Roosevelt.
		In general, securities sold in the U.S. must be registered.
		Not all offerings of securities must be registered with the Securities and Exchange Commission (the "SEC").
	www.all-science-fair-projects.com /science_fair_projects_encyclopedia/Securities_Act_of_1933 (384 words)

	SLD Table of Contents
		The Securities Act of 1933 (15 USC § 77a et seq.)
		General rules and regulations promulgated under the Securities Act of 1933 (17 CFR Part 230)
		The Securities Exchange Act of 1934 (15 USC § 78a et seq.)
	www.law.uc.edu /CCL/xyz/sldtoc.html (221 words)

	Securities Litigation Watch
		Postings will be very light at Securities Litigation Watch over the next few weeks as we settle in with the newest addition to the SLW Family, Gavin Blake, who was born yesterday afternoon.
		A quick review of the Securities Class Action Services database reveals that the company is actually the subject of litigation in two countries, also having been named as a defendant in a statement of claim lodged in the Ontario Superior Court of Justice.
		Weil, Gotshal & Manges' 2006 Securities Litigation Survey, all 194 pages of it, provides a thorough review of recent securities litigation opinions, broken down by topic and circuit, and should be a valuable resource to attorneys practicing in the securities litigation field.
	slw.issproxy.com (1506 words)

	Securities Act of 1933 Summary
		Companies issuing securities to the public are required to file registration reports and statements with the U.S. Securities and Exchange Commission (SEC) in accordance with the 1933 and 1934 Securities Acts.
		The 1933 Securities Act requires that the registration statement be filed and accepted by the SEC before securities are initially offered for sale.
		The Securities Act of 1933, coming on the heels of the stock market crash of 1929 and the ensuing great depression, aimed to increase the public trust in American markets.
	www.bookrags.com /Securities_Act_of_1933 (1386 words)

	Securities - Wex (Site not responding. Last check: 2007-10-28)
		Securities are not inherently valuable; their worth comes only from the claims they entitle their owner to make upon the assets and earnings of the issuer, or the voting power that accompanies such claims.
		Securities laws attempt to ensure that investors have accurate information of the type of interest they are purchasing and its value.
		Securities Exchange Act of 1934 requires that issuers, subject to certain exemptions, register with SEC if they want to have their securities traded on a national exchange.
	www.law.cornell.edu /topics/securities.html (753 words)

	Securities Litigation Uniform Standards Act of 1998: Conference Report - October, 1998 - SCAC
		Section 18(b)(4)(C) of the Securities Act of 1933 (15 U.S.C. 77r(b)(4)(0) is amended by striking "paragraph (4) or (11)" and inserting "paragraph (4), (10), or (11)".
		Under the legislation, class actions relating to a "covered security" (as defined by section 18(b) of the Securities Act of 1933, which was added to that Act by NSMIA) alleging fraud or manipulation must be maintained Pursuant to the provisions of Federal securities law, in Federal court (subject to certain exceptions).
		Additionally, it was the intent of Congress, as was expressly stated during the legislative debate on the Reform Act, and particularly during the debate on overriding the President's veto, that the Reform Act establish a heightened uniform Federal standard on pleading requirements based upon the pleading standard applied by the Second Circuit Court of Appeals.
	securities.stanford.edu /research/reports/19981001slusa.html (4752 words)

	Securities Act of 1933
		For the Securities Act of 1933 filings, there is no better place to begin your securities research than LIVEDGAR's comprehensive collection of over 80,000 Registrations & Prospectuses.
		Additionally, the League Table option lets users create league tables that monitor the volume of Securities Act of 1933 filings such as initial public offerings, debt offerings and equity activity, as well as the activity of the firms involved in the deal.
		Results for all research related to Securities Act of 1933 can be viewed as an abstract that summarizes all the key information of the deal or in its entirety.
	www.gsionline.com /features/securities-act-of-1933.html (263 words)

	SEC Form Types Primer -- By Securities Act
		This form must be filed as notice of the proposed sale of restricted securities or securities held by an affiliate of the issuer in reliance on Rule 144 when the amount to be sold during any three month period exceeds 500 shares or units or has an aggregate sales price in excess of $10,000.
		The proxy statement is intended to provide security holders with the information necessary to enable them to vote in an informed manner on matters intended to be acted upon at security holders' meetings, whether the traditional annual meeting or a special meeting.
		Typically, a security holder is also provided with a "proxy card" to authorize designated persons to vote his or her securities on the security holder's behalf in the event the holder does not vote in person at the meeting.
	www.wsb.com /homepagecontent/info/FormTypesByAct.htm (4108 words)

	Oklahoma Securities Act (Site not responding. Last check: 2007-10-28)
		acting as a liaison between investors and issuers of securities, broker-dealers or investment advisers subject to the jurisdiction of the Department under the Oklahoma Securities Act.
		The Securities Commission and the Securities Department shall be assigned offices in Oklahoma City, Oklahoma, by the Office of Public Affairs, and all records of the Commission and Department shall be kept in those offices, unless and until transferred to the Records Management Division of the Oklahoma Department of Libraries.
		The securities of an investment company entitled to rely upon the notice filing provisions of Section 305.2 of this title are not eligible for registration under this act unless required by the Administrator pursuant to subsection (c) of Section 305.2 of this title.
	www.securities.state.ok.us /Sec_act-2004.html (9937 words)

	securities_act_outline
		An Act to provide full and fair disclosure of the character of securities sold in interstate and foreign commerce and through the mails, and to prevent frauds in the sale thereof, and for other purposes.
		Exemptions from the registration provisions of the Ohio Securities Act.
		Review the federal securities laws carefully to determine whether you may be able to benefit from an exemption from the registration requirements of the Securities Act of 1933.
	www.securities.state.oh.us /About/securities_act_outline.aspx (1647 words)

	Oklahoma Uniform Securities Act (Site not responding. Last check: 2007-10-28)
		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 (5) 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.
		For the purposes of a nonissuer transaction, all outstanding securities of the same class identified in the registration statement as a security registered under this act are considered to be registered while the registration statement is effective.
	www.securities.state.ok.us /OUSA-2005.htm (10540 words)

	Washington University Law Quarterly: GöTTERDäMMERUNG FOR THE SECURITIES ACT?
		Unless SEC administration of the Securities Act permitted issuers to sell securities as rapidly in the United States as in Europe, it was reasonable to assume that a considerable portion of both American and foreign issues would exclusively be sold abroad.
		Concurrent state securities regulation of new issues has generally ended at the registration process level for issuers subject to the 1933 Act; there is now a parallel effort to end state law remedies that go beyond federal securities law generally.
		When the 1933 and 1934 securities acts were adopted, a primary purpose of these laws, with little question, was to prevent the managers of corporate and foreign governmental issuers from defrauding investors.
	ls.wustl.edu /WULQ/75-2/752-7.html (4719 words)

	S. 1260: Securities Litigation Uniform Standards Act
		Proponents of the legislation argue that securities are traded in national markets and that uniform standards are consistent with the federal government's role in promoting free trade and interstate commerce.
		To prevent State class action lawsuits from being used to frustrate the objections of the 1995 Act, national standards for nationally traded securities must be enacted, while preserving the appropriate enforcement powers of state regulators, and the right of individuals to bring suit.
		The SEC had asked for clarification that debate on the 1995 Securities Litigation Reform Act did not, nor was it intended to, alter the scienter standard for securities fraud actions.
	www.senate.gov /~rpc/releases/1998/65-securities.htm (1086 words)

	Securities Law -Rules Regulations Arbitration Litigation NASD NYSE SEC
		The '33 Act governs the initial issuance and registration of securities, as opposed to the Securities Exchange Act of 1934 which governs financial reporting, and he registration of people involved with the sale of securities.The full text of the Securities Act of 1933
		The Securities and Exchange Commission regulations, pursuant to the '33 Act.
		The full text of the 1934 Act, which primarily governs the purchase and sale of securities, securities brokerage firms and securities exchanges.
	www.seclaw.com /secrules.htm (577 words)

	FinancialCounsel.com: Articles: Investment: Due Diligence Defense: Securities Act of 1933 - Sections 11 and 12(a)(2)
		Section 11 of the Securities Act "was designed to assure compliance with the disclosure provisions of the Securities Act by imposing a stringent standard of liability on the parties who play a direct role in a registered offering."
		The section entitles the buyer to recover the consideration paid for such security with interest thereon, less the amount of any income received thereon, upon the tender of such security, or for damages if he no longer owns the security.
		Stuart A. Ober is president of Securities Investigations, Inc., a firm specializing in due diligence and investment consulting and analysis (845 679-2300 or ober@stuartober.com).
	www.financialcounsel.com /Articles/Investment/ARTINV0000281-DueDiligenceDefense.asp (1252 words)

	Private Securities Litigation Reform Act of 1995
		The exception contained in the preceding sentence does not apply to an action against any person that is criminally convicted in connection with the fraud, in which case the statute of limitations shall start to run on the date on which the conviction becomes final'.
		The amendments made by this title shall not affect or apply to any private action arising under title I of the Securities Exchange Act of 1934 or title I of the Securities Act of 1933, commenced before and pending on the date of enactment of this Act.
		Nothing in this Act or the amendments made by this Act shall be deemed to create or ratify any implied private right of action, or to prevent the Commission, by rule or regulation, from restricting or otherwise regulating private actions under the Securities Exchange Act of 1934.
	www.lectlaw.com /files/stf04.htm (3516 words)

	Investor Protection Act of 2002
		S. To amend the Securities Exchange Act of 1934 and the Securities Act of 1933, to address liability standards in connection with violations of the Federal securities laws, and for other purposes.
		To amend the Securities Exchange Act of 1934 and the Securities Act of 1933, to address liability standards in connection with violations of the Federal securities laws, and for other purposes.
		(b) CONFORMING AMENDMENT TO THE SECURITIES ACT OF 1933- Section 11(f)(2)(A) of the Securities Act of 1933 (15 U.S.C. 77k(f)(2)(A)) is amended by striking `in accordance' and all that follows through the period and inserting `in accordance with section 21D(f) of the Securities Exchange Act of 1934.'.
	www.theorator.com /bills107/s1933.html (839 words)

	California Securities Regulation Attorney Los Angeles Breach of Fiduciary Duty Lawsuit Lawyer CA Private Security ...
		From fraudulent practices by unscrupulous stockbrokers, to SEC enforcement of securities regulations, investment professionals and their clients may need the counsel of an experienced attorney.
		With over 30 years of private practice experience in securities regulation and related compliance and regulatory matters, attorney Jonathan Schwartz is competent to represent investors, traders, or dealers in matters of securities law.
		Securities may be stocks, bonds, or mutual funds.
	www.nasdlaw.com /PracticeCenterSecurities.shtml (1078 words)

	ANA SKY WEB - About ANA
		Offering outside the United States in reliance on Regulation S of the U.S. Securities Act of 1933, including to the public in Japan, and within the United States in reliance on Rule 144A under the U.S. Securities Act of 1933.
		The securities mentioned herein have not been, and will not be, registered under the United States Securities Act of 1933 (the “Securities Act”).
		If any public offering of securities is made in the United States, it will be by means of a prospectus that may be obtained from the Company that will contain detailed information about the Company and management, as well as financial statements.
	www.ana.co.jp /wws/us/e/about_ana/corp_info/pr/2005/060301_02.html (283 words)

	Securities Act of 1933
		Securities Act of 1933 - the federal law that covers the new issue of securities.
		It regulates the primary market to prevent fraud on the sale of securities.
		Securities Act of 1933 - some related terms:
	www.speculativebubble.com /terms/sa1933.shtml (64 words)

	M.G.L. - Chapter 110a, Section 306
		A notice filing may be renewed by filing, prior to the expiration of an effective notice filing, a renewal notice as prescribed by the secretary together with a renewal fee of $1,000.
		The secretary may, by rule or order, require the issuer of any security that is a federal covered security under section 18(b)(4)(D) of the Securities Act of 1933 to file, no later than 15 days after the first sale in this commonwealth of such federal covered security, the following:
		Consistent with section 18(c)(1) of the Securities Act of 1933, the secretary retains jurisdiction under the laws of the commonwealth, including this chapter, to investigate and bring enforcement actions with respect to fraud or deceit, or unlawful conduct by a broker or dealer, in connection with covered securities or transactions in covered securities.
	www.mass.gov /legis/laws/mgl/110a-306.htm (358 words)

	Amazon.com: "Securities Act": Key Phrase page (Site not responding. Last check: 2007-10-28)
		SECURITIES ACT OF 1933 15 U.S.C. SS77a et seq.
		transaction involves a security is based on concepts completely foreign to the uninitiated.
		President is a securities attorney and securities act of 1933 specialist.
	www.amazon.com /phrase/Securities-Act (375 words)

	Securities Mosaic (Site not responding. Last check: 2007-10-28)
		Registration statements consist of two major parts: Part I, the “prospectus,” must be distributed to every purchaser of the securities; Part II contains further information that the company is not required to deliver to investors.
		Section 7 of the 1933 Act authorizes the SEC to require additional information to be included in a registration statement, or alternatively, to permit the omission of certain kinds of information for particular classes of securities or issuers.
		The Securities Act specifies several kinds of securities and transactions that are exempt from registration.
	www.securitiesmosaic.com /resourcecenter/1933ActLM.htm (337 words)

	SEC Forms List by category
		Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers to be issued in exchange offers or a business combination
		Registration statement under Securites Act of 1933 to be offered to employees pursuant to certain plans
		Certification of a Foreign Private Issuer’s Termination of Registration of a Class of Securities Under Section 12(G) of the Securities Exchange Act of 1934 or Its Termination of the Duty to File Reports Under Section 13(A) or Section 15(D) of the Securities Exchange Act of 1934
	www.sec.gov /about/forms/secforms.htm (2576 words)

	Securities Act Of 1933
		The Securities Act of 1933 was the first major piece of federal legislation regarding the sale of securities.
		Prior to this legislation, the sale of securities was primarily governed by state laws; however, the market crash of 1929 raised some serious questions about the effectiveness of how the markets were being governed.
		In general, the legislation was enacted as the need for more information within and about the securities markets was acknowledged.
	www.investopedia.com /terms/s/securitiesact1933.asp (414 words)

	AIMR Releases Comments on SEC's Proposals to Modernize the Securities Act of 1933
		Charlottesville,VA, July 1999 − In recent correspondence to U.S. Securities and Exchange Commission Secretary (SEC) Jonathan Katz, the Association for Investment Management and Research (AIMR) specified its position on the Aircraft Carrier Proposal, the SEC's recent plan to modernize the regulatory structure for offerings under the Securities Act of 1933.
		AIMR recognizes the limitations of the existing public offering system, and believes that the Aircraft Carrier initiatives will, as a whole, measurably improve the quality and timeliness of the information provided to market participants.
		Discussing the organization's reaction to the SEC proposal, AIMR President and Chief Executive Officer Thomas A. Bowman, CFA, said, "AIMR strongly supports the SEC's efforts to modernize the Securities Act of 1933.
	www.cfainstitute.org /aboutus/press/release/99releases/sec.html (709 words)

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