What people are saying - Write a review
We haven't found any reviews in the usual places.
A Quick Survey of Securities Regulation
Some Definitions and Preliminary Explanations
The Registration Process Under the Securities Act of 1933
12 other sections not shown
action additional adviser agreement amount annual apply approval assets bank become Board bonds broker broker/dealers capital Certificate chapter Class Class A Stock commission common Company Company's complete Condor contract corporation cover dealers dealing directors dividends earnings effective ended Exchange exempt federal filed firm funds given governing holders holding included Indenture interest investment investment companies investor issue issuing corporation laws least less listed loans major matters meet ment months Note November 30 obtained offering officers operations outstanding paid pany period person plans preferred principal profits prohibited Prospectus provisions proxy purchase received record Registration Statement regulation requirements rules securities sell shares short sold solicitation stockholders tion trading transactions Trustee underwriter voting York