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" Bank securities are exempt from the registration requirements of the Securities Act of 1933, and banks are excluded from the definitions of "broker... "
Securities Regulatory Equality: Hearing Before the Subcommittee on ... - Page 207
by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1994 - 285 pages
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Decisions and Reports, Volume 39

United States. Securities and Exchange Commission - 1962 - 1022 pages
...to December 1957, reported various sales by registrant of its stock, and stated that such sales were exempt from the registration requirements of the Securities Act of 1933 ("Securities Act") as a private offering within the meaning of Section 4(1) thereof. The record shows that of a total...
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Decisions and Reports, Volume 38

United States. Securities and Exchange Commission - 1960 - 996 pages
...decrease in the amount of its outstanding securities, that such reports falsely claimed an exemption, from the registration requirements of the Securities Act of 1933 ("Securities Act") for securities issued in exchange for various assets, and that Eureka failed to file a required current...
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Securities Act of 1933 Release, Issues 4727-4899

United States. Securities and Exchange Commission - 502 pages
...broker-dealer, filed with us a notification and an offering circular for the purpose of obtaining an exemption from the registration requirements of the Securities Act of 1933 ("Securities Act") pursuant to Section 3(b) thereof and Regulation A thereunder (Rules 17 CFR 230.251 et seg. ) with respect...
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Trading in Municipal Securities: Hearings Before the Subcommittee on ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1974 - 440 pages
...Act expressly do not apply to municipal securities. As to the issuers of municipal securities, they are exempt from the registration requirements of the Securities Act of 1933 and the reporting requirements of the 1934 Act. In essence, only the anti-fraud provisions of the federal...
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Municipal Securities Regulation: Hearing Before the Subcommittee on Consumer ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and Finance - 1975 - 140 pages
...Securities and Exchange Commission should exempt from Rule 15c2-ll those municipal securities which are exempt from the registration requirements of the Securities Act of 1933 and the registration and reporting requirements of the Securities Exchange Act of 1934 and to continue...
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Financial Institutions and the Nation's Economy (FINE): "discussion ...

United States. Congress. House. Committee on Banking, Currency and Housing. Subcommittee on Financial Institutions Supervision, Regulation and Insurance - 1976 - 900 pages
...recently, the Commission has had quite limited authority over disclosure by banks. Bank securities are exempt from the registration requirements of the Securities Act of 1933, and banks are excluded from the definitions of "broker" and "dealer" in the Securities Exchange Act...
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Oversight on the Commodity Futures Trading Commission: Hearing Before the ...

United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry. Subcommittee on Agricultural Research and General Legislation - 1980 - 142 pages
...provided the authority to bring enforcement actions in connection with futures trading on securities which are exempt from the registration requirements of the Securities Act of 1933. (Id. at 74.) None of these attempts to constrain the Commission's jurisdiction succeeded. The Senate...
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Report of the Chrysler Corporation Loan Guarantee Board, July 15, 1980

Chrysler Corporation Loan Guarantee Board (U.S.) - 1980 - 394 pages
...Federal income taxes, and the Act contains no exemption from state and " j* local taxes. The Notes are exempt from the registration requirements of the Securities Act of 1933. || , The Notes are offered when, as and if Issued and accepted by the Underwriters named herein, subject...
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Puerto Rico and the Section 936 Tax Incentives: Hearing Before the ...

United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on General Oversight and Renegotiation - 1983 - 372 pages
...given upon the authority of such firms as experts in accounting and auditing. SALE OF NOTES The Notes are exempt from the registration requirements of the Securities Act of 1933 and have not been registered with the Securities and Exchange Commission. The Notes are also exempt...
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Legislative Proposals Concerning FNMA and FHLMC: Hearings Before the ...

United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Housing and Community Development - 1983 - 464 pages
...current information statement. See "Availability of Information and Incorporation by Reference." PCs are exempt from the registration requirements of the Securities Act of 1933 and are "exempted securities" within the meening of the Securities Exchange Act of 1934. PCs are not...
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