Declaration of State Policy. Short title. Any person who is the beneficial owner, directly or indirectly, of more than ten percent of any class of equity securities (“ten percent beneficial owner”) registered pursuant to section 12 of the Act (15 U.S.C. clause (2) of section 2 of the Public Debt Act, 1944 (18 of 1944); ( c ) “member” means a member of a recognised stock exchange; ( d ) “option in securities” means a contract for the purchase or sale of a right to buy or 3 For the purposes of sections 57.2 and 136, a person is in a special relationship with an issuer if the person (a) is an insider, affiliate or associate of (i) the issuer, (ii) a person that is considering or proposing to make a take over bid, as defined in section 92, for the securities of the issuer, … Section 2(a)(3) of the Securities Act defines "sale" or "sell" to "include every contract of sale or disposition of a security or interest in a security, for value." 3 securities act of 1933 sec. This Act has effect even though inconsistent with sections 4 and 5 of the Constitution. Learn vocabulary, terms, and more with flashcards, games, and other study tools. Preamble. 2 based or is referenced, an affiliate of the issuer, or an under writer, shall constitute a contract for sale of, sale of, offer for This Act came into operation on 31st December 2012. Act inconsistent with Constitution. § 200.81(b) March 15, 2005 Office of Chief Counsel Division of Corporation Finance Securities and Exchange … 78 l), any director or officer of the issuer of such securities, and any person specified in section 30(h) of the Investment Company Act … Start studying Uniform securities act section 2 series 66. Section 2 in The Securities Contracts (Regulation) Act, 1956. 2 Definitions. Commencement. 17 of 2012. 3. (2.2) Subsection 2 (2) of the Fines and Forfeitures Act does not apply to a fine recovered for a contravention of Ontario securities law or Ontario commodity futures law that is designated in accordance with clause (2) … 408/2012. Section 5(c) of the Securities Act, in part, prohibits the use of jurisdictional means to offer to sell securities unless a registration statement has been filed. 2. *Seesection 2 for date of … —In this Act, unless the context otherwise requires,— ... being a body of individuals or a society registered under the Societies Registration Act, 1860 (21 of 1860), by another stock exchange, being a company incorporated for the purpose of … This Act may be cited as the Securities Act. - This shall be known as "The Securities Regulation Code" Section 2. Start studying Federal Securities act Section 2 series 66. Definition of special relationships. The prohibitions of Section 5 of the Securities Act of 1933 with respect to the offer, sale, and delivery after sale of a security relate to three different periods: (A) Before a registration statement is filed; (B) during the waiting period; and (C) after the effective date. Learn vocabulary, terms, and more with flashcards, games, and other study tools. – The State shall establish a socially conscious, free market that regulates itself, encourage the widest participation of ownership in enterprises, enhance the democratization of wealth, promote the development of the capital … Securities Act of 1933 Section 2(a)(3) Securities Exchange Act of 1934 Rule 12h-5(b) Regulation S-X Rule 3-10(c), (d) and (g) CONFIDENTIAL TREATMENT REQUESTED PURSUANT TO 17 C.F.R.
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