Investment companies are also subject to regulations of the Securities Act of 1933, FINRA, and the Securities Exchange Act of 1934.
FORBES: Why Unit Investment Trusts Can Be A Good Investment Alternative
On August 29, 2012, the SEC released for comment a set of proposed amendments to Rule 506 of Regulation D under the Securities Act of 1933.
FORBES: Floodgates Set to Open for Private Securities Offerings (and Hedge Funds are Included!)
This press release contains forward-looking statements that are subject to the safe harbors created under the Securities Act of 1933 and the Securities Exchange Act of 1934.
ENGADGET: ViaSat-1 sends its first words through the stratosphere to cooing stateside relatives
This announcement contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934.
ENGADGET: Amazon Prime getting Fox content, adding the Bluth family to its streaming offerings
But the municipal securities market is thinly traded and largely exempt from the controls of both the Securities Act of 1933 and the Securities Exchange Act of 1934.
FORBES: Could Municipal Bonds Be the Next Financial Titanic?
Since the Securities Act of 1933, public companies have been required to get independent audits each year, assuring investors that a fresh set of eyes has inspected the books.
WSJ: The Intelligent Investor: One Cure for Accounting Shenanigans
Forward-Looking Statements This announcement contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934.
ENGADGET: Kindle is the biggest selling item on Amazon, bests sliced bread
This release contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended.
ENGADGET: ECOtality teams with Sprint to connect Blink EV charging network
Ultimately, the legality of AOCs securitizing the care they provide patients falls to the Securities Act of 1933 and the Securities and Exchange Act of 1934, the two primary laws governing securitization.
The Glass-Steagall banking Act of 1933, the Securities Act of 1933 or the Securities Exchange Act of 1934 were perhaps the most powerful and important financial laws ever created in the United States.
On April 5th 2012, President Obama signed the JOBS Act (shorthand for Jumpstart Our Business Startups) into law, which changed numerous components of the Securities Act of 1933, and is the legislation that largely deregulates equity crowdfunding.
Another important aspect of the JOBS Act is the lifting of the prohibition on general advertising and general solicitation that has since 1962 been essential to characterize an offering as private and not subject to registration under the U.S. Securities Act of 1933.
FORBES: With the JOBS Act, Congress Throws Open the Door for Private Stock Offerings
The investment products and investment funds described in this Website are not registered under the U.S. Securities Act of 1933 and its amendments, and should not be offered or sold to individuals in the United States as required by the Security and Exchange Act of 1933.
FORBES: International Private Banks Offer No Safe Haven For Wealthy Foreign Investors
Congress passed historic banking regulations during the New Deal, including the Glass-Steagall Banking Act of 1933, the Securities Act of 1933, and the Public Utility Holding Company Act of 1935, all of which vastly expanded the role of the federal government in overseeing and regulating Wall Street.
Pursuant to the U.S. Securities Exchange Act of 1933, the SEC requires a high degree of disclosure and transparency regarding bonds underwritten by U.S. firms and offered in New York.
SEC, has been examining the whole body of regulations that has accrued since the 1933 Securities Act.
应用推荐