Federal Securities Act of 1933

Contains full coverage of the 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
Chapter 2 Applicability of the Act: “Security” and “Sale”
Chapter 3 Exempted Securities under Section 3 of the Securities Act
Chapter 4 Exempt Transactions under Section 4 of the Securities Act
Chapter 5 Limited Offering Exemptions under Sections 3(b) and 3(c) of the Securities Act
Chapter 6 Restricted and Control Securities under the Federal Securities Laws
Chapter 7 Registration Forms
Chapter 7A The Registration Process
Chapter 7B Registration Of Investment Companies and Their Securities
Chapter 8 The Trust Indenture Act of 1939
Chapter 9 Civil Liabilities under the Securities Act
Chapter 10 SEC Enforcement Practice
Chapter 11 Criminal Enforcement of the Securities Act of 1933