Securities exchange act of 1934, as amended to August 20, 1964. by United States

Cover of: Securities exchange act of 1934, as amended to August 20, 1964. | United States

Published by For sale by the Superintendent of Documents, U.S. Govt. Print. Off. in [Washington .

Written in English

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Places:

  • United States.

Subjects:

  • Securities -- United States,
  • Stock exchanges -- Law and legislation -- United States

Edition Notes

Book details

ContributionsUnited States. Securities and Exchange Commission.
Classifications
LC ClassificationsLAW
The Physical Object
Pagination35 p.
Number of Pages35
ID Numbers
Open LibraryOL5964650M
LC Control Number65060383
OCLC/WorldCa1438332

Download Securities exchange act of 1934, as amended to August 20, 1964.

Get this from a library. Securities exchange act ofas amended to Aug [United States.; United States. Securities and Exchange Commission.]. Securities Exchange Act ofas amended (Exchange Act) Also known as Exchange Act or '34 Act. The federal statute regulating the periodic reporting obligations of reporting companies, tender offers, certain trading practices, insider trading and the registration and conduct of broker-dealers.

1 SECURITIES EXCHANGE ACT OF [AS AMENDED THROUGHP.L. APPROVEDAUGUST10, ] TABLE OF CONTENTS TITLEI—REGULATION OFSECURITIESEXCHANGES.

Sec. Short Title. Sec. Necessity File Size: KB. An illustration of an open book. Books. An illustration of two cells of a film strip. Video. An illustration of an audio speaker.

Audio. An illustration of a " floppy disk. Securities Exchange Act of as amended by United States. Securities and Exchange Commission. Topics. AN ACT To amend the Securities Act ofas amended, and the Securities Exchange Act ofas amended, to extend disclosure requirements to the issuers of additional publicly traded securities, to provide for improved qualification and disciplinary procedures for.

SECURITIES EXCHANGE ACT OF Sec. 12 pany under section 3(c)(10)(B) of the Investment Company Act of 1964. book any security of an issuer which is a ‘‘cooperative asso­ ciation’’ as defined in the Agricultural Marketing Act, approved Jas amended.

Securities Exchange Act of (Exchange Act), with the exception of one limited amendment to the Securities Act of(Securi-ties Act).

The Amendments Act may be divided into two parts, the first dealing primarily with issuers of securities. The main feature of this. Pub. 88–, § 1, Aug. 20,78 Stat.provided: “If any provision of this Act [see Short Title of Amendment note above], an amendment made by this Act, SECURITIES EXCHANGE ACT OF 17 CFR PART - FORMS, SECURITIES EXCHANGE ACT OF 17 CFR PART b - FURTHER FORMS, SECURITIES EXCHANGE ACT OF Investment Company Act of Section 3(c)(1) - Exemption from Definition of Investment Company; Section 3(c)(7) - Exemption from Definition of Investment Company; Rule 3a-4 - Status of Investment Advisory Programs; Securities Exchange Act of Section 13(d) - Reports by persons acquiring more than 5% of certain classes of securities.

Federal securities laws had for their primary impetus the great depression and disclosures of substantial fraudulent activity as amended to August 20 the national securities markets. The Securities Acts Amendments of have no such earthshaking basis.

In SeptemberPublic Law added a new Section 19(d) to the Exchange Act. The Securities and Exchange Act of created the SEC, and Section 10b of the Act gave the SEC the power to enact rules against "manipulative and deceptive practices" in securities trading. The Act was passed in large part as a response to the stock market crash ofto provide more transparency in the secondary securities market.

Each issuer which has filed a registration statement containing an undertaking which is or becomes operative under this subsection as in effect prior to Augand each issuer which shall after such date file a registration statement which has become effective pursuant to the Securities Act ofas amended [15 U.S.C.

77a et seq. Form and Content of and Requirements for Financial Statements, Securities Act ofSecurities Exchange Act ofPublic Utility Holding Company Act ofInvestment Company Act ofInvestment Advisers Act ofand Energy Policy and Conservation Act of Part Index of Interpretations Relating to Financial Reporting.

–, § (3), struck out “The term ‘securities laws’ as used herein and in subsection (h) of this section includes the Securities Act of (15 U.S.C. 77a et seq.), the Securities Exchange Act of (15 U.S.C. 78a et seq.), the Public Utility Holding Company Act of (15 U.S.C.

79 et seq.), the Trust Indenture Act of. By virtue of the authority vested in me by the Constitution and laws of the United States, including section of title 3, United States Code, I hereby assign to you the function of the President under section 13(b)(3)(A) of the Securities Exchange Act ofas amended (15 U.S.C.

78m(b)(3)(A)). In performing such function, you should. Amendment by Pub. –62 applicable as defense to any claim in administrative and judicial actions pending on or commenced after Dec. 8,that any person, security, interest, or participation of type described in Pub. –62 is subject to the Securities Act ofthe Securities Exchange Act ofthe Investment Company Act.

§78a. Short title. This chapter may be cited as the "Securities Exchange Act of " (June 6,ch. title I, §1, 48 Stat. ) References in Text. This chapter, refe. were the Securities Act of (Securities Act) and the Securities Exchange Act of (Exchange Act), the legislation that had the greatest effect on the securities market.

While much debate centers around the Securities Act and the Exchange Act (the Acts), one must realize that Congress enacted four additional statutes to regulate I. Securities Exchange Act of § 16(d), added by 78 Stat. (), 15 U.S.C.

§ 78p(d) (). Many people feel that over-the-counter securities need a sponsor to make. Regulation S-X is a prescribed regulation in the United States of America that lays out the specific form and content of financial reports, specifically the financial statements of public companies.

It is cited as 17 C.F.R. Part ; the name of the part is "Form and Content of and Requirements for Financial Statements, Securities Act ofSecurities Exchange Act ofPublic Utility. The Securities Exchange Act of (also called the Exchange Act, '34 Act, or Act) (Pub.L.

73–, 48 Stat.enacted June 6,codified at 15 U.S.C. § 78a et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America. A landmark of wide-ranging legislation, the Act of '34 and related statutes form the basis of.

This Act may be cited as the “ Securities Exchange Act of ” NECESSITY FOR REGULATION AS PROVIDED IN THIS TITLE Seo. For the reasons hereinafter enumerated, transactions in securities as commonly conducted upon securities exchanges and over-the-counter markets are affected with a national public interest.

Securities and Exchange Commission: Securities exchange act ofas amended to Aug ([Washington, For sale by the Superintendent of Documents, U.S. Govt. Print.

Off., ]), also by United States (page images at HathiTrust). Indicate by check mark whether the registrant is an emerging growth company as defined in Rule of the Securities Act of (§ of this chapter) or Rule 12b-2 of the Securities Exchange Act of (§b-2 of this chapter).

Emerging growth company ☐. Section 16(b) of the Securities Exchange Act of prohibits short-swing profits (from any purchases and sales within any six-month period) made by corporate directors, officers, or stockholders owning more than 10% of a firm's shares.

Under Section 10(b) of the Act, SEC Rule 10b-5, prohibits fraud related to securities trading. to Section l2(h) of the Securities Exchange Act ofas amended, ("Exchange Act") by order dated Aug ("Order") to determine whether a finding should be made, as requested by The National Dollar Stores, Ltd.

("applicant"), that the exemption of its common stock from the provisions of Section l2(g) of the Exchange. the Securities act ofas amended, or the Securities Exchange act ofas amended, whether made before or after the date hereof and regardless of any general incorporation language in such filings, except to the extent expressly set forth by specific reference in such a filing.

UNITED STATES. SECURITIES AND EXCHANGE COMMISSION. Washington, D.C. FORM Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF For the quarterly period ended Septem OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF. A, title IV, §(d), Dec.

20,Stat.provided that: "The amendments made by subsection (a) [amending this section and sections A and of this title] shall apply to information provided on or after the date of the enactment of this Act [Dec. 20, ]." Effective Date of Amendment.

We are offering to exchange % Fixed-to-Floating Rate Subordinated Notes due that have been registered under the Securities Act ofas amended (“Securities Act”), which we refer to in this prospectus as the “New Notes,” for any and all of our outstanding unregistered % Fixed-to-Floating Rate Subordinated Notes due that we issued in a private placement on.

The Act originally extended its reach only to those corporation with a class of securities "registered on a national securities exchange." These corporations are referred to as "12(b) corporations," after the section of the act requiring their registration by filing with the relevant exchange and with the SEC.

In Congress extended the provision to a large segment of the over-the. (b) (1) Section 32(a) of the Securities Exchange Act of (15 (a» is amended by inserting "(other than section 30A)" inImediately after "title" the first place it appears. (2) SectlOn 32 of the Securities Exchange Act of (15 U.S.C.

£) is amended by adding at the end thereof the following new subsection. The amendment to the Securities Act of § 4, 48 Star. 77, as amended, 15 U.S.C. § 77d () [hereinafter cited as Securities Act] is described in Phillips & Shipman, An Analysis of the Securities Acts Amendments ofDUKE L.J.This Quarterly Report includes “forward-looking statements” within the meaning of Section 27A of the Securities Act ofas amended (the “Securities Act”) and Section 21E of the Exchange Act that are not historical facts, and involve risks and uncertainties that could cause actual results to differ materially from those expected and.

SECURITIES AND EXCHANGE COMMISSION. Washington, D.C. FORM 8-K. CURRENT REPORT. Pursuant to Section 13 or 15(d) of the. Securities Exchange Act of Date of Report (Date of earliest event reported): Janu SIMON PROPERTY GROUP, L.P.

(Exact name of registrant as specified in its charter). Under Rule 15c of the Securities Exchange Act ofas amended, trades in the secondary market generally are required to settle in two business days, unless the parties to a trade expressly.

As filed with the Securities and Exchange Commission on Aug Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. Amendment No. 2 to Form 10 GENERAL FORM FOR REGISTRATION OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF California Resources Corporation.

Securities Exchange Act of means the Securities Exchange Act ofas amended, and any reference herein to such Act or a particular provision or section thereof shall mean, unless otherwise expressly stated or the context otherwise requires, such Act, provision or section, as the case may be, as amended or replaced from time to time or.

As filed with the Securities and Exchange Commission on August 9, Registration No. UNITED STATES. SECURITIES AND EXCHANGE COMMISSION. Washington, D.C. Form S REGISTRATION STATEMENT. UNDER. THE SECURITIES ACT OF Range Resources Corporation* (Exact name of Registrant as specified in its charter).

We are also incorporating by reference into this prospectus any additional documents that we subsequently file with the Commission under Sections 13(a), 13(c), 14 or 15(d) of the Securities Exchange Act ofas amended (other than those “furnished” pursuant to Item or Item in any Current Report on Form 8-K or other information.

united states. securities and exchange commission. washington, d.c. form q (mark one) ☒ quarterly report pursuant to section 13 or 15(d) of the securities exchange act of   Pursuant to Rule under the Securities Act ofas amended (the “Securities Act”), an indeterminate number of additional securities are registered hereunder that may be issued to prevent dilution in connection with a stock split, stock dividend, recapitalization, or similar event or .We are subject to the disclosure requirements of the Securities Exchange Act ofas amended, and in accordance therewith, file reports, information statements and other information, including.

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