The Securities Act of 1933, also known as the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, and the '33 Act, was...

with the Securities Act of 1933, which regulates these original issues, the Securities Exchange Act of 1934 regulates the secondary trading of those securities...

frauds in securities markets, Congress passed the Securities Act of 1933 (15 U.S.C. § 77a), which federally regulates original issues of securities across...

and securities firms. That limited meaning of the term is described in the article on Glass–Steagall Legislation. The Banking Act of 1933 (the 1933 Banking...

of self-regulatory organizations like FINRA to oversee broker-dealers. The Securities Act of 1933 requires public securities offerings, including of investment...

of SIPC (pursuant to 15 U.S.C. § 78ccc) and are subject to its regulations. The laws that govern the securities industry are: Securities Act of 1933 –...

Section 2(4) of the Securities Act of 1933 as follows: The term "issuer" means every person who issues or proposes to issue any security; except that...

Act of 1939 (TIA), codified at 15 U.S.C. §§ 77aaa–77bbbb, supplements the Securities Act of 1933 in the case of the distribution of debt securities in...

British merchant bank. Congress enacted the Securities Act of 1933 in the aftermath of the stock market crash of 1929 and during the ensuing Great Depression...

the United States Congress wrote into law the Securities Act of 1933 and the Securities Exchange Act of 1934. In 1935, Congress requested that the SEC...

the purchase and sale of securities traded on national securities exchanges and in interstate over-the-counter markets, securities issued by companies engaged...

held that the offer of a land sales and service contract was an "investment contract" within the meaning of the Securities Act of 1933 (15 U.S.C. § 77b)...

Securities Act of 1933 1933 – Banking Act of 1933, which contained legislation repealed by Gramm–Leach–Bliley 1934 – Securities Exchange Act of 1934 1938...

person that is "violating, has violated, or is about to violate" Securities Act of 1933 "after notice and opportunity for hearing" in administrative proceeding)...

register their securities with the U.S. Securities and Exchange Commission (SEC) as the "registration statement by the Securities Act of 1933". The S-1 contains...

United States under the Securities Act of 1933, any offer to sell securities must either be registered with the United States Securities and Exchange Commission...

rules revising Rule 144 under the Securities Act of 1933, which regulates the resale of restricted securities and securities held by affiliates. The amendments...

Securities Act of 1933, as amended (the "Securities Act") provides a safe harbor from the registration requirements of the Securities Act of 1933 for...

projects from 1933 to 1934. The Securities Act of 1933 was enacted to prevent a repeated stock market crash. The controversial work of the National Recovery...

state a claim under Section 11(a) of the Securities Act of 1933, a plaintiff must allege the purchase of "such security" issued pursuant to a materially...

to the Securities Act of 1933, the securities offered do not have to be registered with the Securities and Exchange Commission if the issuance of the securities...

A securities class action (SCA), or securities fraud class action, is a lawsuit filed by investors who bought or sold a company's publicly traded securities...

Congress passed the Glass–Steagall Banking Act of 1933, the Securities Act of 1933, and the Securities Exchange Act of 1934. Following the 1929 Wall Street...

another addition to the series of policy created to mandate and regulate the transactions of securities. The Securities Act of 1933 was the first policy created...

non-governmental securities for customers; investing in non-investment grade securities for themselves; underwriting or distributing non-governmental securities; affiliating...

register shares of the mutual fund. They file it under the Securities Act of 1933 if they wish to offer shares to customers. PDF of Form N-1A Form Types...

Ameritrade Holding Corporation Pursuant to Rule 425 Under the Securities Act of 1933". U.S. Securities and Exchange Commission. October 12, 2004. Ian, Austen...

have sold securities without registration under the Securities Act of 1933 in an offering based on a claim of exemption under Rule 504 or 506 of Regulation...

Hear Appeal Regarding Securities Act Claims in Direct Listings". JD Supra. "Supreme Court To Weigh In On Securities Act Of 1933 Standing In Slack Technologies...

a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies, certain insiders, and...