Federal Securities Act of 1933
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Contains full coverage of the Securities Act of 1933:
• The organization of the SEC
• Definition of "security" and "sale"
• Exempted securities and transactions, small issue exemptions, restricted and control securities
• The registration process, registration forms, registration of investment company securities, the Trust Indenture Act of 1939
• Civil liabilities, SEC and criminal enforcement
This set is an ideal companion to a related treatise the Federal Securities Exchange Act of 1934 (2 volumes), and our Securities Primary Law Sourcebook (5 volumes), which contains essential primary source related to both the Securities Act of 1933 and the Securities Exchange Act of 1934, materials under the Securities Investor Protection Act and the Trust Indenture Act, SEC and NASD Rules, and selected recent SEC releases.
First published in 1965.
2 Volumes; looseleaf; updated with revisions.
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Table of contents
CHAPTER 1 INTRODUCTION TO THE SECURITIES ACT OF 1933 AND TO THE SECURITIES AND EXCHANGE COMMISSION
§ 1.01 Pre-1933 Legislation and Background
§ 1.02 The Securities Act of 1933Objectives and Scope
§ 1.03 The Securities and Exchange Commission
§ 1.04 The Securities and Exchange Commission and the Securities Act of 1933 Today
CHAPTER 2 APPLICABILITY OF THE ACT: SECURITY AND SALE
§ 2.01 The Meaning of SecuritySection 2(1)
§ 2.02 The Meaning of SaleSection 2(3)
CHAPTER 3 EXEMPTED SECURITIES UNDER SECTIONS 3(a)(2) THROUGH 3(a)(8) OF THE SECURITIES ACT
§ 3.01 Introduction § 3.02 Availability of Exemption; Burden of Proof
§ 3.03 Securities of Governments, Banks, and Employee Benefit Plans Section 3(a)(2)
§ 3.04 Short-Term Commercial PaperSection 3(a)(3)
§ 3.05 Securities of Charitable OrganizationsSection 3(a)(4)
§ 3.06 Securities of Savings and Loan Associations and Similar InstitutionsSection 3(a)(5)
§ 3.07 Securities of Railroad (Common Carrier) Equipment Trusts Section 3(a)(6)
§ 3.08 Certificates of Receivers and TrusteesSection 3(a)(7)
§ 3.09 Insurance Policies and Annuity ContractsSection 3(a)(8)
§ 3.10 Voluntary Exchanges Between Issuer and Security Holders Section 3(a)(9)
§ 3.11 Securities Issued in Judicially or Administratively Approved ExchangesSection 3(a)(10)
§ 3.12 Intrastate Offerings3(a)(11)
§ 3.13 Securities Issued in Connection with Certain Bank Holding Company AcquisitionsSection 3(a)(12)
§ 3.14 Securities Issued by Church Plans, Companies or Accounts that are Excluded from the Definition of an Investment Company
§ 3.15 Securities Futures Products and Standardized Options
§ 3.16 Section 3(b) General Exemption Authority
CHAPTER 4 EXEMPT SECURITIES UNDER SECTIONS 3(a)(9) THROUGH 3(a)(11) AND SECTION 4 OF THE SECURITIES ACT
§ 4.01 Introduction
§ 4.02 Transactions by Persons Other Than Issuers, Underwriters, or DealersSection 4(1)
§ 4.03 The Private Offering ExemptionSection 4(2)
§ 4.04 Regulation D
§ 4.05 Private Sales by Non-Issuers: The Section 4 (1 1/2) Exemption and Rule 144A
§ 4.06 The Dealers ExemptionSection 4(3)
§ 4.07 The Exemption for Brokers TransactionsSection 4(4)
§ 4.08 The Exemption for Promissory Notes Secured by Certain Real EstateSection 4(5)
§ 4.09 The Exemption for Offers or Sales to Accredited Investors Section 4(6)
§ 4.10 Regulation S: Offers and Sales Made Outside the United States
CHAPTER 5 SMALL ISSUE EXEMPTIONS UNDER SECTIONS 3(b) AND 3(c) OF THE SECURITIES ACT
§ 5.01 Small Issues under the Securities ActGenerally
§ 5.02 Regulation A Offerings
§ 5.03 Regulation A Filings
§ 5.04 Other Section 3(b) Offering Exemptions
§ 5.05 Regulation ESmall Business Investment Companies
§ 5.06 Regulation CECoordinated Exemption for Certain Issues of Securities Exempt under State Law
CHAPTER 6 RESTRICTED AND CONTROL SECURITIES UNDER THE FEDERAL SECURITIES LAWS
§ 6.01 Introduction
§ 6.02 Why it Matters that Securities are Restricted or Control Securities: Limitations on Disposition
§ 6.03 Definition of Restricted Securities
§ 6.04 Definition of Control Securities
§ 6.05 Public Resales of Restricted and Control Securities under Rule 144
§ 6.06 Public Resales of Restricted and Control Securities Outside Rule 144
§ 6.07 Private Resales of Restricted and Control Securities to Qualified Institutional Buyers under Rule 144A
§ 6.08 Private Resales of Restricted and Control Securities Outside Rule 144A
§ 6.09 Resales Overseas
CHAPTER 7 REGISTRATION FORMS
§ 7.01 Introduction
§ 7.02 Preparation of the Registration Statement
§ 7.03 Form S-1 - Registration of Securities of Issuers for Whom No Other Form is Authorized
§ 7.04 Registration of Securities of Reporting IssuersForms S-2 and S-3
§ 7.05 Registration of Securities of Small Business IssuersForms SB-2 and SB-1
§ 7.06 Registration of Certain Business Combinations
§ 7.07 Foreign Registration Form