An Introduction to Securities Regulation |
Contents
A Quick Survey of Securities Regulation | 1 |
Some Definitions and Preliminary Explanations 5 | 2 |
The Registration Process Under the Securities Act of 1933 | 8 |
Copyright | |
11 other sections not shown
Common terms and phrases
additional affiliated agreement amendment amount annual apply approval assets bank Board of Directors bondholders bonds broker broker/dealer capital stock cash Certificate Class A Stock collateral commission common stock Condor contract debentures dividends earnings effective employees ended November 30 exempt February 24 federal filed financial statements funds GROWTH STOCK included interest investment advisers investment companies issuance issuing corporation January 15 Joseph D Laughton laws leases listed loans major Massachusetts Investors Massachusetts Investors Trust ment national securities exchange offering price officers outstanding over-the-counter paid pany par value payable period person Poloron Products preferred stock profits prohibited Prospectus provisions proxy public offering purchase Registration Statement regulation requirements rules secu Securities Dealers securities holders securities market seller shareholders shares of Class sold solicitation Southern California Edison tion trading transactions Trust Indenture Act Trustee underwriter voting stock York Stock Exchange