Web11 Dec 2009 · Section 3 (a) (9) exempts any securities exchange by the issuer with its security holders. This means that the new securities being issued and the securities that are being surrendered must be from the same issuer. The “same issuer” can at times be a successor issuer. Web16 Jan 2014 · On January 3, 2014, the Securities and Exchange Commission (SEC) issued new Compliance and Disclosure Interpretations (CDIs) that impact the calculation of an individual‟s beneficial ownership...
Lehman Brothers Holdings: Shall Not Be Deemed Filed For …
Weba contract of sale for future delivery on the index is traded on or subject to the rules of a foreign board of trade and meets such requirements as are jointly established by rule or regulation by the Commission and the Commodity Futures Trading Commission; A purchase by an insurance company for one or more of its separate accounts, as … (e)(4)(C), is title II of act Aug. 22, 1940, ch. 686, 54 Stat. 847, which is classified … For all student loans under part B or D of title IV of the Higher Education Act of … This subchapter may be cited as the “Trust Indenture Act of 1939.” (May 27, 1933, … “(3) Whenever an issuer is found to have violated section 78dd–1(a) of this title, … the rules and regulations of the Securities and Exchange Commission under the … L. 88–467 required the Commission in its annual reports to Congress for fiscal … Not later than 90 days after the date of the enactment of this Act [Apr. 5, 2012], the … Web15 Feb 2024 · Section 3(a)(1) of the Exchange Act defines an “exchange” as follows: [A]ny organization, association, or group of persons, whether incorporated or unincorporated, which constitutes, maintains, or provides a market place or facilities for bringing together purchasers and sellers of securities or for otherwise performing with respect to ... terry hines \u0026 associates
Corp Fin Provides Guidance on Section 3(a)(10) Exemption
WebSecurities Act of 1933. Section 1 — Short title. Section 2 — Definitions; promotion of efficiency, competition, and capital formation. Section 2A — Swap agreements. Section 3 — Classes of securities under this title. Section 4 — Exempted transactions. Web12 Jun 2008 · Relying on Section 13(d)(3) and an analysis that was highly specific to the facts in this case, the Court ruled that TCI and 3G formed a group prior to December 12, 2007 (the date TCI and 3G claimed its group was formed), and that TCI and 3G thus violated Section 13(d) of the Exchange Act by failing to file the required disclosure within 10 days … Web6 hours ago · U.S. Securities and Exchange Commission Subject: Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions Keywords: Release Nos. 34-97312, IA-6285; File No. 3 … terry hindall